This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

43120 

Vol. 86, No. 149 

Friday, August 6, 2021 

DEPARTMENT OF ENERGY 

10 CFR Part 429 

[EERE–2012–BT–STD–0045] 

RIN 1904–AE90 

Energy Conservation Program for 

Appliance Standards: Certification for 

Ceiling Fan Light Kits, General Service 

Incandescent Lamps, Incandescent 

Reflector Lamps, Ceiling Fans, 

Consumer Furnaces and Boilers, 

Consumer Water Heaters, 

Dishwashers, Commercial Clothes 

Washers, Battery Chargers, and 

Dedicated-Purpose Pool Pumps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking 

and request for comment. 

SUMMARY: The U.S. Department of 

Energy (‘‘DOE’’ or the ‘‘Department’’) 

proposes to amend the certification 

provisions for ceiling fan light kits 

(‘‘CFLKs’’), general service incandescent 

lamps (‘‘GSILs’’), incandescent reflector 

lamps (‘‘IRLs’’), ceiling fans, consumer 

furnaces and boilers, consumer water 

heaters, dishwashers, commercial 

clothes washers (‘‘CCWs’’), battery 

chargers, and dedicated-purpose pool 

pumps (‘‘DPPPs’’). DOE is proposing 

amendments to the certification and 

reporting provisions for these products 

and equipment to ensure reporting that 

is consistent with currently applicable 

energy conservation standards and to 

ensure DOE has the information 

necessary to determine the appropriate 

classification of products for the 

application of standards. DOE seeks 

comment from interested parties on all 

aspects of this proposal. 

DATES: DOE will accept comments, data, 

and information regarding this proposal 

no later than October 5, 2021. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

https://www.regulations.gov. Follow the 

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments by email to the 

following email address: 

ApplianceStandardsQuestions@

ee.doe.gov. Include docket number 

EERE–2012–BT–STD–0045 and/or RIN 

1904–AE90 in the subject line of the 

message. Submit electronic comments 

in WordPerfect, Microsoft Word, PDF, 

or ASCII file format, and avoid the use 

of special characters or any form of 

encryption. 

Although DOE has routinely accepted 

public comment submissions through a 

variety of mechanisms, including postal 

mail and hand delivery/courier, the 

Department has found it necessary to 

make temporary modifications to the 

comment submission process in light of 

the ongoing Covid–19 pandemic. DOE is 

currently suspending receipt of public 

comments via postal mail and hand 

delivery/courier, and instead, the 

Department is only accepting electronic 

submissions at this time. If a commenter 

finds that this change poses an undue 

hardship, please contact Appliance 

Standards Program staff at (202) 586– 

1445 to discuss the need for alternative 

arrangements. Once the Covid–19 

pandemic health emergency is resolved, 

DOE anticipates resuming all of its 

regular options for public comment 

submission, including postal mail and 

hand delivery/courier. 

No telefacsimiles (‘‘faxes’’) will be 

accepted. For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section V (Public Participation) of 

this document. 

Docket: The docket for this activity, 

which includes Federal Register 

notices, comments, and other 

supporting documents/materials, is 

available for review at https://

www.regulations.gov. All documents in 

the docket are listed in the https://

www.regulations.gov index. However, 

some documents listed in the index, 

such as information that is exempt from 

public disclosure, may not be publicly 

available. 

The docket web page can be found at 

https://www.regulations.gov/ 

docket?D=EERE-2012-BT-STD-0045. 

The docket web page contains 

instructions on how to access all 

documents, including public comments, 

in the docket. See section V for 

information on how to submit 

comments through https://

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Dr. Stephanie Johnson, U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Office, EE–5B, 

1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 287–1943. Email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

Ms. Amelia Whiting, U.S. Department 

of Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 586–2588. Email: 

Amelia.Whiting@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Authority and Background 

A. Authority 

B. Background 

1. Ceiling Fan Light Kits 

2. GSILs and IRLs 

3. Ceiling Fans 

4. Consumer Furnaces and Boilers 

5. Consumer Water Heaters 

6. Dishwashers 

7. Commercial Clothes Washers 

8. Battery Chargers 

9. Dedicated-Purpose Pool Pumps 

II. Synopsis of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Ceiling Fan Light Kits 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

B. GSILs and IRLs 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

C. Ceiling Fans 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

D. Consumer Furnaces and Boilers 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

E. Grid-Enabled Water Heaters 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

F. Dishwashers 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

G. Commercial Clothes Washers 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

H. Battery Chargers 

1. Scope of Applicability 


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Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Proposed Rules 43121 

1All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020). 

2For editorial reasons, upon codification in the 

U.S. Code, Part B was re-designated as Part A. 

3For editorial reasons, upon codification in the 

U.S. Code, Part C was re-designated at Part A–1. 

4 DOE subsequently published two correction 

notifications on May 2, 2011 (to correct a drafting 

error and erroneous internal cross references) and 

on August 2, 2011 (to correct presentation of a 

formula). 76 FR 24762; 76 FR 46202, respectively. 

2. Reporting 

3. Reporting Costs and Impacts 

I. Dedicated-Purpose Pool Pumps 

1. Scope of Applicability 

2. Reporting 

3. Reporting Costs and Impacts 

J. Draft Certification Templates for Review 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Orders 12866 

and 13563 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

1. Description of the Requirements 

2. Method of Collection 

3. Data 

4. Conclusion 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Materials Incorporated by Reference 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

A. Authority 

The Energy Policy and Conservation 

Act, as amended (‘‘EPCA’’) 1 authorizes 

DOE to regulate the energy efficiency of 

a number of consumer products and 

certain industrial equipment. (42 U.S.C. 

6291–6317, as codified) Title III, Part B2

of EPCA, Public Law 94–163, 

established the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles, which sets forth a 

variety of provisions designed to 

improve energy efficiency. Title III, Part 

C 3 of EPCA, added by Public Law 95– 

619, Title IV, section 441(a), established 

the Energy Conservation Program for 

Certain Industrial Equipment. These 

products and equipment include CFLKs, 

GSILs, IRLs, ceiling fans, consumer 

furnaces and boilers, consumer water 

heaters, dishwashers, CCWs, battery 

chargers, and DPPPs, the subjects of this 

document. (42 U.S.C. 6292(a)(4–6) and 

(14); 42 U.S.C. 6295(u) and (ff); 42 

U.S.C. 6311(1)(A) and (H)) 

Under EPCA, the energy conservation 

program consists essentially of four 

parts: (1) Testing, (2) labeling, (3) the 

establishment of Federal energy 

conservation standards, and (4) 

certification and enforcement 

procedures. Relevant provisions of 

EPCA specifically include definitions 

(42 U.S.C. 6291; 42 U.S.C. 6311), test 

procedures (42 U.S.C. 6293; 42 U.S.C. 

6314), labeling provisions (42 U.S.C. 

6294; 42 U.S.C. 6315), energy 

conservation standards (42 U.S.C. 6295; 

42 U.S.C. 6313), and the authority to 

require information and reports from 

manufacturers (42 U.S.C. 6296; 42 

U.S.C. 6316). 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered products and 

equipment must use as the basis for: (1) 

Certifying to DOE that their products or 

equipment comply with the applicable 

energy conservation standards adopted 

pursuant to EPCA (42 U.S.C. 6295(s); 42 

U.S.C. 6316(a)), and (2) making 

representations about the efficiency of 

those consumer products or industrial 

equipment (42 U.S.C. 6293(c); 42 U.S.C. 

6314(d)). Similarly, DOE must use these 

test procedures to determine whether 

the products or equipment comply with 

relevant standards promulgated under 

EPCA. (42 U.S.C. 6295(s); 42 U.S.C. 

6316(a)) 

EPCA authorizes DOE to enforce 

compliance with the energy and water 

conservation standards established for 

covered products and equipment. (42 

U.S.C. 6299–6305; 42 U.S.C. 6316(a)– 

(b)) DOE has promulgated enforcement 

regulations that include reporting 

requirements for covered products and 

equipment including CFLKs, GSILs, 

IRLs, ceiling fans, consumer furnaces 

and boilers, consumer water heaters, 

dishwashers, CCWs, battery chargers, 

and DPPPs. See title 10 of the Code of 

Federal Regulations (‘‘CFR’’) part 429. 

The certification regulations ensure that 

DOE has the information it needs to 

assess whether regulated products and 

equipment sold in the United States 

comply with the law. 

B. Background 

DOE’s certification regulations are a 

mechanism that DOE uses to help 

ensure compliance with its regulations 

by collecting information about the 

energy and water use characteristics of 

covered products and covered 

equipment sold in the United States. 

Manufacturers of all covered products 

and covered equipment must submit a 

certification report before a basic model 

is distributed in commerce, annually 

thereafter, and if the basic model is 

redesigned in such a manner to increase 

the consumption or decrease the 

efficiency of the basic model such that 

the certified rating is no longer 

supported by test data. Additionally, 

manufacturers must report when 

production of a basic model has ceased 

and is no longer offered for sale as part 

of the next annual certification report 

following such cessation. DOE requires 

the manufacturer of any covered 

product or covered equipment to 

establish, maintain, and retain the 

records of certification reports, of the 

underlying test data for all certification 

testing, and of any other testing 

conducted to satisfy the requirements of 

part 429, part 430, and/or part 431 until 

two years after notifying DOE that a 

model has been discontinued. 10 CFR 

429.71. Certification reports provide 

DOE and consumers with 

comprehensive, up-to-date efficiency 

information and support effective 

enforcement. 

To ensure that all covered products 

and covered equipment distributed in 

the United States comply with DOE’s 

energy and water conservation 

standards and reporting requirements, 

DOE has promulgated certification, 

compliance, and enforcement 

regulations in 10 CFR part 429. On 

March 7, 2011, the Department 

published in the Federal Register a final 

rule regarding Certification, 

Compliance, and Enforcement for 

Consumer Products and Commercial 

and Industrial Equipment, which 

revised, consolidated, and streamlined 

the Department’s existing certification, 

compliance, and enforcement 

regulations for certain consumer 

products and commercial and industrial 

equipment covered under EPCA. 76 FR 

12422.4 Since that time, DOE has also 

completed multiple rulemakings 

regarding Certification, Compliance, and 

Enforcement for specific covered 

products or equipment. See, for 

example, the May 5, 2014, final rule 

regarding certification of commercial 

and industrial heating, ventilating, air 

conditioning (HVAC), refrigeration, and 

water heating equipment. 79 FR 25486. 

In this rulemaking, DOE is once again 

proposing to revise its certification 

regulations for certain covered products, 

as further detailed below. 

1. Ceiling Fan Light Kits 

CFLKs are ‘‘covered products’’ for 

which DOE is authorized to establish 

and amend energy conservation 

standards and test procedures. (42 


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43122 Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Proposed Rules 

5After DOE’s promulgation of final rules 

establishing energy conservation standards for 

CFLKs and ceiling fans, Congress enacted S. 2030, 

the ‘‘Ceiling Fan Energy Conservation 

Harmonization Act’’ (‘‘the Act’’), which was signed 

into law as Public Law 115–161 on April 3, 2018. 

The Act amended the compliance date for the CFLK 

standards to establish a single compliance date for 

the energy conservation standards for both CFLKs 

and ceiling fans. On May 16, 2018, DOE published 

a final rule that amended the compliance date for 

CFLKs in the relevant sections of the CFR by 

replacing ‘‘January 7, 2019’’ with ‘‘January 21, 

2020.’’ 83 FR 22587. 

U.S.C. 6291(50), 42 U.S.C. 

6293(b)(16)(A)(ii), 42 U.S.C. 6295(ff)(2)– 

(5)) DOE’s energy conservation 

standards for CFLKs are currently 

prescribed at 10 CFR 430.32(s). Test 

procedures for CFLKs are currently 

prescribed at 10 CFR 430.23; 10 CFR 

part 430, subpart B, appendix V, 

‘‘Uniform Test Method for Measuring 

the Energy Consumption of Ceiling Fan 

Light Kits With Pin-Based Sockets for 

Fluorescent Lamps’’ (‘‘appendix V’’); 

and 10 CFR part 430, subpart B, 

appendix V1, ‘‘Uniform Test Method for 

Measuring the Energy Consumption of 

Ceiling Fan Light Kits Packaged With 

Other Fluorescent Lamps (not Compact 

Fluorescent Lamps or General Service 

Fluorescent Lamps), Packaged With 

Other SSL Lamps (not Integrated LED 

Lamps), or With Integrated SSL 

Circuitry’’ (‘‘appendix V1’’). The 

sampling requirements for determining 

represented values based on the results 

of testing of CFLKs are found at 10 CFR 

429.33(a) and (b) specifies the 

information that must be included in 

certification reports submitted to DOE 

for CFLKs. 

EPCA directed that the initial test 

procedures for CFLKs be based on the 

test procedures referenced in the 

ENERGY STAR® specifications for 

Residential Light Fixtures and Compact 

Fluorescent Light Bulbs as in effect on 

August 8, 2005. (42 U.S.C. 

6293(b)(16)(A)(ii)) DOE published a 

final rule on December 8, 2006, 

establishing test procedure requirements 

for CFLKs in appendix V that 

incorporated by reference the relevant 

ENERGY STAR requirements. 71 FR 

71340. 

CFLKs manufactured on or after 

January 1, 2007, and prior to January 21, 

2020, must be packaged with lamps to 

fill all sockets, with additional 

standards applicable based on the type 

of the CFLK’s lamp sockets. 10 CFR 

430.32(s)(3)–(5). Lamps packaged with 

CFLKs with medium screw base sockets 

must meet efficacy standards, while 

medium screw base compact fluorescent 

lamps (‘‘CFLs’’) must additionally meet 

standards for lumen maintenance, rapid 

cycle stress, and lifetime. 10 CFR 

432.32(s)(3). CFLKs with pin-based 

sockets for fluorescent lamps must use 

an electronic ballast and the lampballast platform must meet efficacy 

standards. 10 CFR 432.32(s)(4). CFLKs 

with other than medium screw base or 

pin-based sockets must not be capable 

of operating with lamps that total more 

than 190 watts. 10 CFR 432.32(s)(5). The 

standards at 10 CFR 430.32(s)(3)–(5) 

will be referred to collectively in this 

document as the January 1, 2007 

standards. 

EPCA also provides that DOE ‘‘may 

review and revise’’ the initial ceiling fan 

light kit test procedure (TP). (42 U.S.C. 

6293(b)(16)(B)). On December 24, 2015, 

DOE published a final rule (‘‘December 

2015 CFLK TP Final Rule’’) making two 

key updates to its CFLK test procedure. 

80 FR 80209. First, DOE updated the 

CFLK test procedure to require that 

representations of efficacy, including 

certifications of compliance with CFLK 

standards, be made according to the 

corresponding DOE lamp test 

procedures, where they exist (e.g., for a 

CFLK with medium screw base sockets 

that is packaged with CFLs, the CFLK 

test procedure references the DOE test 

procedure for CFLs at 10 CFR 

430.23(y)). 80 FR 80209, 80210 (Dec. 24, 

2015). Second, DOE updated the CFLK 

test procedure by establishing in a 

separate appendix, i.e., appendix V1, 

the test procedure for CFLKs packaged 

with inseparable light sources that 

require luminaire efficacy testing (e.g., 

CFLKs with integrated solid state 

lighting (‘‘SSL’’) circuitry) and for 

CFLKs packaged with lamps for which 

DOE test procedures did not exist. 80 FR 

80209, 80212. With these changes, the 

December 2015 CFLK TP Final Rule 

aligned requirements for measuring 

efficacy of lamps and/or light sources in 

CFLKs with current DOE lamp test 

procedures. 

DOE published a final rule on January 

6, 2016, amending energy conservation 

standards (ECS) for CFLKs (‘‘January 

2016 CFLK ECS Final Rule’’). 81 FR 580. 

In that final rule, DOE established 

amended standards based on the 

efficacy of the lamps (with additional 

requirements for medium base CFLs and 

pin-based fluorescent lamps) packaged 

with the CFLK, except where the lamps 

are not designed to be consumer 

replaceable from the CFLK (i.e., 

integrated SSLs), in which case 

luminaire efficacy is used. Id. These 

amended standards apply to CFLKs 

manufactured on or after January 21, 

2020,5 and will be referred to 

collectively in this document as the 

January 21, 2020 standards. See 10 CFR 

432.32(s)(6). 

In the December 2015 CFLK TP Final 

Rule, DOE determined that the 

amendments in that final rule would 

likely change the measured values 

required to comply with the thenexisting CFLK standards for all CFLKs 

except CFLKs with medium screw base 

sockets. 80 FR 80209, 80212. As such, 

representations regarding CFLKs subject 

to the January 21, 2020 standards must 

be based on the amended test 

procedure, including appendix V1. See 

id. and 81 FR 580 (January 6, 2016). 

Neither the December 2015 CFLK TP 

Final Rule nor the January 2016 CFLK 

ECS Final Rule amended the reporting 

requirements for CFLKs to reflect the 

updated metrics from the test procedure 

and amended standards. The reporting 

requirements at 10 CFR 429.33 continue 

to require manufacturers to report based 

on the January 1, 2007 standards, 

including information that is no longer 

relevant. This inconsistency between 

the reporting requirements and the 

January 21, 2020 standards may lead to 

confusion regarding which standards 

are applicable as well as the reporting 

of unnecessary information. Therefore, 

DOE is proposing to update the 

reporting requirements to address the 

January 21, 2020 standards and remove 

the reporting requirements for the 

January 1, 2007 standards. 

2. GSILs and IRLs 

GSILs and IRLs are ‘‘covered 

products’’ for which DOE is authorized 

to establish and amend energy 

conservation standards and test 

procedures. (42 U.S.C. 6292(a)(14)) 

DOE’s existing test procedures for 

general service fluorescent lamps 

(‘‘GSFLs’’), IRLs and GSILs appear at 

title 10 CFR part 430, subpart B, 

appendix R (‘‘appendix R’’) (‘‘Uniform 

Test Method for Measuring Average 

Lamp Efficacy (‘‘LE’’), Color Rendering 

Index (‘‘CRI’’), and Correlated Color 

Temperature (‘‘CCT’’) of Electric 

Lamps’’). 

DOE test procedures for GSFLs, IRLs, 

and GSILs are codified in appendix R 

and associated sampling and reporting 

requirements are codified in 10 CFR 

429.27. DOE standards for GSFLs, IRLs, 

and GSILs are codified respectively at 

10 CFR 430.32(n)(1), (2), (4), (6), and (7) 

and (x). 

On July 6, 2009, DOE published a 

final rule amending the test procedures 

for GSFLs, IRLs, and GSILs. 74 FR 

31829. These amendments consisted 

largely of: (1) Referencing the most 

current versions of several lighting 

industry test standards incorporated by 

reference; (2) adopting certain technical 

changes and clarifications; and (3) 

expanding the test procedures to 


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Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Proposed Rules 43123 

6A large-diameter ceiling fan is a ceiling fan that 

is greater than seven feet in diameter. 10 CFR part 

430, subpart B, appendix U, section 1.14. 

7The list of covered products includes 

‘‘furnaces;’’ however, EPCA defines a ‘‘furnace,’’ in 

relevant part, as ‘‘an electric central furnace, 

electric boiler, forced-air central furnace, gravity 

central furnace, or low pressure steam or hot water 

boiler.’’ (42 U.S.C. 6291(23)(C)) 

accommodate new classes of lamps to 

which coverage was extended by the 

Energy Independence and Security Act 

of 2007 (Pub. L. 110–140). Id. The final 

rule also addressed the then recently 

established statutory requirement to 

expand test procedures to incorporate a 

measure of standby mode and off mode 

energy consumption and determined 

that, because these modes of energy 

consumption were not applicable to the 

lamps, an expansion of the test 

procedures was not necessary. Id. 

Shortly thereafter, DOE again amended 

the test procedures to adopt reference 

ballast settings necessary for the 

additional GSFLs for which DOE was 

establishing standards. 74 FR 34080, 

34096 (July 14, 2009). 

DOE most recently amended the test 

procedures for GSFLs and GSILs in a 

final rule published on January 27, 

2012. 77 FR 4203. DOE updated several 

references to the industry test standards 

referenced in DOE’s test procedures and 

established a lamp lifetime test method 

for GSILs. Id. In that final rule, DOE 

determined amendments to the existing 

test procedure for IRLs were not 

necessary. Id. 

On June 3, 2021, DOE published a 

notice of proposed rulemaking (NOPR) 

amending the test procedures for GSFL, 

IRLs, and GSILs. 86 FR 29888 (‘‘June 

2021 NOPR’’). In the June 2021 NOPR, 

DOE proposed to update to the latest 

versions of the referenced industry test 

standards; clarify definitions, test 

conditions and methods; clarify test 

frequency and inclusion of cathode 

power in measurements for GSFLs; 

provide a test method for measuring CRI 

of GSILs and IRLs and for measuring 

lifetime of IRLs; allow manufacturers to 

make voluntary (optional) 

representations of GSFLs at high 

frequency settings; and to align 

sampling and certification requirements 

with proposed test procedure 

terminology and with the Federal Trade 

Commission’s labeling program. Id. 

In this NOPR, DOE is proposing to 

revise the reporting requirements to 

reflect the current energy conservation 

standards for GSILs and IRLs and 

include other characteristics in the 

certification report needed to determine 

the applicable product classes. DOE is 

not proposing revisions to GSFL 

reporting requirements in this NOPR. 

3. Ceiling Fans 

Ceiling fans are ‘‘covered products’’ 

for which DOE is authorized to establish 

and amend energy conservation 

standards and test procedures. (42 

U.S.C. 6291(49), 42 U.S.C. 

6293(b)(16)(A)(ii) and (B), 42 U.S.C. 

6295(ff)(1) and (6)(C)) DOE’s existing 

test procedure for ceiling fans appears at 

10 CFR 430.23 and appendix U of 10 

CFR part 430, subpart B, ‘‘Uniform Test 

Method for Measuring the Energy 

Consumption of Ceiling Fans.’’ 

Sampling and reporting requirements 

for ceiling fans are set forth at 10 CFR 

429.32. DOE’s existing energy 

conservation standards for ceiling fans 

are located in 10 CFR 430.32(s). 

On July 25, 2016, DOE published a 

final rule which amended the test 

procedures for ceiling fans at appendix 

U. 81 FR 48620 (‘‘July 2016 Final 

Rule’’). On January 19, 2017, DOE 

established energy conservation 

standards for ceiling fans, expressed as 

the minimum allowable efficiency in 

terms of cubic feet per minute per watt 

(‘‘CFM/W’’), as a function of ceiling fan 

diameter in inches. These standards are 

applicable to all ceiling fans 

manufactured in, or imported into, the 

United States on and after January 21, 

2020. 82 FR 6826, 6827 (‘‘January 2017 

CF ECS Final Rule’’). 

On September 30, 2019, DOE 

published a NOPR proposing 

amendments to the test procedure. 84 

FR 51440 (‘‘September 2019 NOPR’’). 

Additionally, on October 17, 2019, DOE 

hosted a public meeting to present the 

September 2019 NOPR proposals. 

On December 27, 2020, the Energy 

Act of 2020 (Pub. L. 116–260) was 

signed into law, and amended 

performance standards for largediameter ceiling fans (‘‘LDCFs’’).6 (42 

U.S.C. 6295(ff)(6)(C)(i), as codified) 

Specifically, section 1008 of the Energy 

Act of 2020 amended section 325(ff)(6) 

of EPCA to specify that large-diameter 

ceiling fans manufactured on or after 

January 21, 2020, are not required to 

meet minimum ceiling fan efficiency 

requirements in terms of the ratio of the 

total airflow to the total power 

consumption (i.e., CFM/W) as 

established in the January 2017 CF ECS 

Final Rule. (42 U.S.C. 6295(ff)(6)(C)(i)(I), 

as codified) Instead, LDCFs are required 

to meet specified minimum efficiency 

requirements based on the Ceiling Fan 

Energy Index (‘‘CFEI’’) metric, with one 

standard based on operation of the fan 

at high speed and a second standard 

based on operation of the fan at 40 

percent speed or the nearest speed that 

is not less than 40 percent speed. (42 

U.S.C. 6295(ff)(6)(C)(i)(II), as codified) 

On May 27, 2021, DOE published a 

final rule to amend the current 

regulations for large-diameter ceiling 

fans, corresponding to the provisions in 

the Energy Act of 2020. 86 FR 28469 

(‘‘May 2021 Technical Amendment’’) 

The May 2021 Technical Amendment 

also implemented conforming 

amendments to the ceiling fan test 

procedure to ensure consistency with 

the Energy Act of 2020. 

Current ceiling fan reporting 

requirements do not reflect the amended 

energy conservation standards adopted 

in the January 2017 CF ECS final rule, 

nor do they reflect the updated 

performance standards for largediameter ceiling fans as established in 

the Energy Act of 2020. Therefore, DOE 

is proposing to update the reporting 

requirements to reflect current 

standards. 

4. Consumer Furnaces and Boilers 

Consumer furnaces and boilers are 

included in the list of ‘‘covered 

products’’ for which DOE is authorized 

to establish and amend energy 

conservation standards and test 

procedures.7 (42 U.S.C. 6292(a)(5)) 

DOE’s energy conservation standards for 

consumer furnaces and boilers are 

currently prescribed at 10 CFR 

430.32(e). Test procedures for consumer 

furnaces and boilers are currently 

specified in 10 CFR part 430, subpart B, 

appendix N, ‘‘Uniform Test Method for 

Measuring the Energy Consumption of 

Furnaces and Boilers’’ (‘‘appendix N’’). 

Reporting requirements for consumer 

furnaces and boilers are set forth in 10 

CFR 429.18. 

The DOE test procedure for consumer 

furnaces and boilers at appendix N is 

used to determine the annual fuel 

utilization efficiency (‘‘AFUE’’), which 

for gas-fired and oil-fired furnaces and 

boilers accounts for fossil fuel 

consumption in active, standby, and off 

modes, but does not include electrical 

energy consumption. For electric 

furnaces and boilers, AFUE accounts for 

electrical energy consumption in active 

mode. Appendix N also includes 

separate provisions to determine the 

electrical energy consumption in 

standby mode (PW,SB) and off mode 

(PW,OFF) in watts for gas-fired, oil-fired, 

and electric furnaces and boilers. 

On October 20, 2010, DOE published 

a final rule in the Federal Register to 

amend its test procedure for consumer 

furnaces and boilers to establish a 

method for measuring the electrical 

energy use in standby mode and off 

mode for gas-fired and oil-fired boilers 

in satisfaction of 42 U.S.C. 

6295(gg)(2)(A), which requires that test 


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8The automatic means for adjusting water 

temperature must ensure that an incremental 

change in the inferred heat load produces a 

corresponding incremental change in the 

temperature of the water supplied by the boiler. 

procedures for all covered products 

account for standby mode and off mode 

energy consumption. 75 FR 64621. DOE 

most recently updated its test procedure 

for consumer furnaces and boilers in a 

final rule published in the Federal 

Register on January 15, 2016 (January 

2016 final rule). 81 FR 2628. The 

January 2016 final rule amended the 

existing DOE test procedure for 

consumer furnaces and boilers through 

a number of modifications designed to 

improve the consistency and accuracy 

of test results generated using the DOE 

test procedure and to reduce test 

burden. 81 FR 2628, 2629–2630 (Jan. 15, 

2016). 

EPCA established the initial energy 

conservation standards for consumer 

furnaces and boilers in terms of AFUE 

(42 U.S.C. 6295(f)(1)–(3)) and directed 

DOE to conduct a series of rulemakings 

to determine whether to amend these 

standards (42 U.S.C. 6295(f)(4); see also 

42 U.S.C. 6295(m)). On November 19, 

2007, DOE published a final rule in the 

Federal Register (the November 2007 

final rule) that revised the energy 

conservation standards for certain 

consumer furnace and boiler product 

classes, with compliance required 

beginning on November 19, 2015. 72 FR 

65136. Following DOE’s adoption of the 

November 2007 final rule, several 

parties jointly sued DOE in the United 

States Court of Appeals for the Second 

Circuit (Second Circuit) to invalidate 

the rule, arguing that the standards 

adopted did not reflect the maximum 

improvement in energy efficiency that is 

technologically feasible and 

economically justified, as required by 

EPCA. Petition for Review, State of New 

York, et al. v. Department of Energy, et 

al., Nos. 08–0311–ag(L); 08–0312– 

ag(con) (2d Cir. Filed Jan. 17, 2008). On 

April 21, 2009, the Second Circuit 

granted a motion by DOE for voluntary 

remand (which the petitioners did not 

oppose) that indicated that DOE would 

revisit its initial conclusions outlined in 

the November 2007 final rule in a 

subsequent rulemaking action but did 

not vacate the standards adopted in the 

November 2007 final rule. 

On June 27, 2011, DOE published a 

direct final rule (June 2011 DFR) 

revising the energy conservation 

standards for consumer furnaces (as 

well as consumer central air 

conditioners and heat pumps) pursuant 

to the voluntary remand in State of New 

York, et al. v. Department of Energy, et 

al. 76 FR 37408. The June 2011 DFR 

amended the existing energy 

conservation standards for nonweatherized gas furnaces, mobile home 

gas furnaces, and non-weatherized oil 

furnaces, and amended the compliance 

date (but left the existing standards in 

place) for weatherized gas furnaces. The 

June 2011 DFR also established 

electrical standby mode and off mode 

standards for non-weatherized gas 

furnaces, mobile home gas furnaces, 

non-weatherized oil furnaces, mobile 

home oil furnaces, and electric furnaces. 

DOE confirmed the standards and 

compliance dates promulgated in the 

June 2011 DFR in a notice of effective 

date and compliance dates published in 

the Federal Register on October 31, 

2011. 76 FR 67037. 

Following DOE’s adoption of the June 

2011 DFR, the American Public Gas 

Association (APGA) filed a petition for 

review with the United States Court of 

Appeals for the District of Columbia 

Circuit (D.C. Circuit) to invalidate the 

DOE rule as it pertained to nonweatherized natural gas furnaces and 

mobile home gas furnaces. Petition for 

Review, American Public Gas 

Association, et al. v. Department of 

Energy, et al., No. 11–1485 (D.C. Cir. 

filed Dec. 23, 2011). On April 24, 2014, 

the Court granted a motion that 

approved a settlement agreement that 

was reached between DOE, APGA, and 

the various intervenors in the case, in 

which DOE agreed to a remand of the 

non-weatherized gas furnace and mobile 

home gas furnace portions of the June 

2011 DFR in order to conduct further 

notice-and-comment rulemaking. 

Accordingly, the Court’s order vacated 

the June 2011 DFR in part (i.e., those 

portions relating to non-weatherized gas 

furnaces and mobile home gas furnaces) 

and remanded to the agency for further 

rulemaking. The energy conservation 

standards in the June 2011 DFR for the 

other consumer furnace product classes 

(as well as central air conditioners and 

heat pumps) were left in place. 

On December 19, 2007, the Energy 

Independence and Security Act of 2007 

(‘‘EISA 2007’’), Public Law 110–140, 

was signed into law. EISA 2007 revised 

the AFUE requirements and set design 

requirements for most consumer boiler 

product classes and required 

compliance with the amended standards 

beginning on September 1, 2012. (42 

U.S.C. 6295(f)(3)) For gas-fired hot water 

boilers, oil-fired hot water boilers, and 

electric hot water boilers, EISA 2007 

requires that residential boilers have an 

automatic means for adjusting water 

temperature.8 EISA 2007 also disallows 

the use of constant-burning pilot lights 

in gas-fired hot water boilers and gasfired steam boilers. EISA 2007 provided 

an exception for boilers that operate 

without any need for electricity or any 

electric connection, electric gauges, 

electric pumps, electric wires, or 

electric devices; those boilers were not 

required to meet the requirements 

outlined in EISA 2007 for other 

consumer boilers that require an 

electrical connection. (42 U.S.C. 

6295(f)(3)(A)–(C); 10 CFR 

430.32(e)(2)(ii)–(v)) DOE published a 

final rule technical amendment in the 

Federal Register on July 28, 2008 (July 

2008 final rule technical amendment) to 

codify the energy conservation standard 

levels, design requirements, and 

compliance dates for residential boilers 

outlined in EISA 2007. 73 FR 43611. 

DOE completed the most recent 

rulemaking cycle to amend the 

standards for consumer boilers by 

publishing a final rule in the Federal 

Register on January 15, 2016 (January 

2016 final rule), as required under 42 

U.S.C. 6295(f)(4)(C). 81 FR 2320. The 

January 2016 final rule adopted new 

standby mode and off mode standards 

for consumer boilers in terms of PW,SB

and PW,OFF in addition to amended 

AFUE energy conservation standards. 

Compliance with the new and amended 

standards for consumer boilers was 

required beginning January 15, 2021. Id. 

In this NOPR, DOE proposes to 

require certification and reporting of 

standby mode and off mode energy 

consumption for certain product classes, 

consistent with the energy conservation 

standards for standby mode and off 

mode energy consumption adopted in 

the June 2011 DFR and January 2016 

final rule. DOE also proposes to require 

certification of the type of ignition 

system for all gas-fired consumer boilers 

consistent with the prescriptive design 

requirement set forth in EISA 2007 and 

subsequently codified by DOE in the 

July 2008 final rule technical 

amendment, which applies to all gasfired consumer boilers. 

5. Consumer Water Heaters 

Consumer water heaters are included 

in the list of ‘‘covered products’’ for 

which DOE is authorized to establish 

and amend energy conservation 

standards and test procedures. (42 

U.S.C. 6292)(a)(4)) DOE’s energy 

conservation standards and test 

procedures for consumer water heaters 

are currently prescribed at 10 CFR 

430.32(d) and 10 CFR part 430, subpart 

B, appendix E, respectively. 

The Energy Efficiency Improvement 

Act of 2015 (EEIA 2015), Public Law 

114–11, was enacted on April 30, 2015. 

The EEIA 2015 amended EPCA, in 

relevant part, by adding definitions for 

‘‘grid-enabled water heater’’ and 


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9The test procedures for CCWs prescribed at 10 

CFR 431.154 also reference appendix J1 to subpart 

B of 10 CFR part 430 (‘‘appendix J1’’). For CCWs, 

Appendix J1 is required to demonstrate compliance 

with energy conservation standards applicable to 

CCWs manufactured before January 1, 2018. Any 

representations of compliance with the standards 

applicable to CCWs manufactured on or after 

January 1, 2018 must be based upon results 

generated using appendix J2. 

‘‘activation lock’’ at 42 U.S.C. 

6295(e)(6)(A). These products are 

intended for use as part of an electric 

thermal storage or demand response 

program. Among the criteria that define 

a ‘‘grid-enabled water heater’’ is an 

energy-related performance standard 

that is either an energy factor (EF) 

specified by a formula set forth in the 

statute, or an equivalent alternative 

standard that DOE may prescribe. (42 

U.S.C. 6295(e)(6)(A)(ii)(III)(aa) and (bb)) 

In addition, the EEIA 2015 amendments 

to EPCA also directed DOE to require 

reporting on shipments and activations 

of grid-enabled water heaters and to 

establish procedures, if appropriate, to 

prevent product diversion for nonprogram purposes, and to publish 

related results. (42 U.S.C. 6295(e)(6)(C)– 

(D)) EEIA 2015 also required DOE to 

treat shipment data reported by 

manufacturers as confidential business 

information. (42 U.S.C. 

6295(e)(6)(C)(iii)) On August 11, 2015, 

DOE published a final rule (August 2015 

final rule) in the Federal Register that 

added definitions for ‘‘grid-enabled 

water heater’’ and ‘‘activation lock’’ to 

10 CFR 430.2 and energy conservation 

standards for grid-enabled water heaters 

to 10 CFR 430.32(d). 80 FR 48004, 

48009–48010. The August 2015 final 

rule did not establish provisions to 

require the reporting of shipments by 

manufacturers. 

In this NOPR, DOE proposes to 

require each manufacturer to report 

annual shipments of their grid-enabled 

water heaters and to treat the annual 

shipments of grid-enabled water heaters 

as confidential business information. 

6. Dishwashers 

Dishwashers are included in the list 

of ‘‘covered products’’ for which DOE is 

authorized to establish and amend test 

procedures and energy conservation 

standards. (42 U.S.C. 6292)(a)(6)) DOE’s 

test procedures for dishwashers are 

currently prescribed at 10 CFR 430.23(c) 

and appendix C1 to subpart B of 10 CFR 

part 430 (‘‘appendix C1’’). DOE’s energy 

conservation standards for dishwashers 

are currently prescribed at 10 CFR 

430.32(f). 

In a direct final rule published on 

May 30, 2012 (‘‘May 2012 direct final 

rule’’), DOE amended the energy 

conservation standards and water use 

standards for dishwashers consistent 

with the levels submitted in a petition 

by groups representing manufacturers, 

energy and environmental advocates, 

and consumer groups. 77 FR 31918, 

31919. Compliance with the standards 

established in the May 2012 direct final 

rule was required beginning May 30, 

2013. Id. at 77 FR 31918. In a final 

determination published on December 

13, 2016, DOE concluded that the 

amended energy conservation standards 

would not be economically justified at 

any level above the standards 

established in the May 2012 direct final 

rule, and therefore determined not to 

amend the standards. 81 FR 90072. 

DOE most recently amended its 

dishwasher test procedures in a final 

rule published October 31, 2012, which 

established appendix C1. 77 FR 65942, 

65947. Appendix C1 is currently 

required to demonstrate compliance 

with the energy conservation standards 

prescribed at 10 CFR 430.32(f). The 

current version of the DOE test 

procedure includes provisions for 

determining estimated annual energy 

use and per-cycle water consumption, 

among other metrics. (10 CFR 430.23(c)) 

In this NOPR, DOE proposes adding a 

certification reporting requirement to 

ensure that any assessment or 

enforcement testing pursuant to 10 CFR 

429.104 and 429.110, respectively, 

would be performed using the same 

detergent used by the manufacturer for 

certifying compliance with the energy 

conservation standards. 

7. Commercial Clothes Washers 

CCWs are included in the list of 

‘‘covered equipment’’ for which DOE is 

authorized to establish and amend 

energy conservation standards and test 

procedures. (42 U.S.C. 6311(1)(H)) 

EPCA requires the test procedures for 

CCWs to be the same as those 

established for consumer (residential) 

clothes washers (‘‘RCWs’’). (42 U.S.C. 

6314(a)(8)) DOE’s test procedures for 

CCWs are currently prescribed at 10 

CFR 431.154 and reference DOE’s test 

procedure for RCWs currently 

prescribed at appendix J2 to subpart B 

of 10 CFR part 430 (‘‘appendix J2’’).9

DOE’s energy conservation standards for 

CCWs are prescribed at 10 CFR 

431.156(b). 

In a final rule published on December 

15, 2014, DOE amended the energy 

conservation standards and water 

standards for CCWs. 79 FR 74492 

(‘‘December 2014 Standards Final 

Rule’’). Compliance with the standards 

established in the December 2014 

Standards Final Rule was required 

beginning January 1, 2018. Id. 

DOE most recently amended its CCW 

test procedures in a final rule published 

December 3, 2014. 79 FR 71624 

(‘‘December 2014 TP Final Rule’’). The 

December 2014 TP Final Rule amended 

10 CFR 431.152 to provide definitions 

for integrated water factor (‘‘IWF’’) and 

modified energy factor value calculated 

using appendix J2 (‘‘MEFJ2’’)—the 

metrics on which the current energy 

conservation standards are based— 

among other minor changes. 

In this NOPR, DOE proposes to 

require reporting model characteristics 

used for determining applicable 

standards and for conducting productspecific enforcement provisions for 

clothes washers (which includes CCWs), 

and to specify rounding instructions for 

each newly reported value. 

8. Battery Chargers 

Battery chargers are ‘‘covered 

products’’ for which DOE is authorized 

to establish and amend energy 

conservation standards and test 

procedures. (42 U.S.C. 6295(u)) DOE’s 

energy conservation standards for 

battery chargers are currently prescribed 

at 10 CFR 430.32(z). The test procedures 

for battery chargers are currently 

prescribed at 10 CFR part 430, subpart 

B appendix Y, ‘‘Uniform Test Method 

for Measuring the Energy Consumption 

of Battery Chargers’’ (‘‘appendix Y’’). 

The sampling and reporting 

requirements for battery chargers are set 

forth in 10 CFR 429.39. 

On May 20, 2016, DOE published a 

final rule that established the test 

procedure for battery chargers at 

appendix Y. 81 FR 31827. In that final 

rule, DOE updated the battery selection 

criteria for multi-voltage, multi-capacity 

battery chargers; harmonized the 

instrumentation resolution and 

uncertainty requirements with the 

second edition of the International 

Electrotechnical Commission (‘‘IEC’’) 

62301 standard for measuring standby 

power; defined and excluded back-up 

battery chargers from the testing 

requirements; outlined provisions for 

conditioning lead acid batteries; 

specified sampling and certification 

requirements; and corrected 

typographical errors in the current test 

procedure. Id. 

On June 13, 2016, DOE established 

the current energy conservation 

standards for battery chargers, expressed 

as the maximum allowable unit energy 

consumption (‘‘kWh/yr’’) as a function 

of battery energy and voltage. 81 FR 

38266. 

Consistent with these prior regulatory 

amendments affecting battery chargers, 

this proposal would establish an annual 

filing date by which manufacturers 


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would be required to submit the 

required certification information to 

DOE. 

9. Dedicated-Purpose Pool Pumps 

DPPPs are a subset of pumps, which 

are included in the list of ‘‘covered 

equipment’’ for which DOE is 

authorized to establish and amend 

energy conservation standards and test 

procedures. (42 U.S.C. 6311(1)(A)) 

DOE’s test procedures for DPPPs are 

currently prescribed at 10 CFR 

431.464(b) and DOE’s energy 

conservation standards for DPPPs are 

prescribed at 10 CFR 431.465(f)–(h). The 

certification and reporting requirements 

for DPPPs are set forth in 10 CFR 

429.59(b)(2)(iv)–(v) and (b)(3)(iv). 

DOE’s test procedure for determining 

DPPP energy efficiency was established 

in a final rule published on August 7, 

2017. 82 FR 36858 (‘‘August 2017 Final 

Rule’’). The test procedure reflects the 

consensus of the Appliance Standards 

Rulemaking Federal Advisory 

Committee (ASRAC) negotiated 

rulemaking working group for DPPPs. 

(Docket No. EERE–2015–BT–STD–0008, 

Nos. 51 and 82) The August 2017 Final 

Rule also included certification and 

enforcement provisions for DPPPs. 

In this NOPR, DOE proposes to clarify 

the certification reporting requirements 

for DPPPs in 10 CFR 429.59(b)(2)(iv) 

and (b)(3)(iv), in order to resolve 

potential confusion as to the scope of 

these provisions. 

II. Synopsis of the Notice of Proposed 

Rulemaking 

In this NOPR, DOE proposes to 

update the certification reporting 

requirements as follows: 

(1) Align the CFLK certification 

reporting requirements at 10 CFR 429.33 

with the CFLK energy conservation 

standards relating to: (a) Efficacy for 

light sources in CFLKs; (b) lumen 

maintenance, lifetime, and rapid cycle 

stress testing for medium screw base 

CFLs in CFLKs; (c) electronic ballasts 

for pin-based fluorescent lamps in 

CFLKs; (d) test sample size; and (e) kind 

of lamp. 

(2) Include rated voltage and lamp 

diameter for IRLs and initial lumen 

output for GSILs in certification reports 

to determine applicable energy 

conservation standards under the GSIL 

and IRL certification reporting 

requirements at 10 CFR 429.27. 

Additionally, for IRLs include CRI in 

certification reports, an existing 

minimum energy conservation 

requirement for these products. 

(3) Align the ceiling fan certification 

reporting requirements at 10 CFR 429.32 

with existing energy conservation 

standards established in the January 

2017 CF ECS Final Rule and the Energy 

Act of 2020. Additionally, specify 

rounding requirements for CFM/W and 

CFEI. Finally, add a reporting 

requirement for standby power 

consumption for small-diameter ceiling 

fans. 

(4) Align the consumer furnace and 

boiler certification reporting 

requirements at 10 CFR 429.18 with the 

existing energy conservation standards 

by requiring reporting of standby mode 

and off mode energy consumption for 

classes with existing standby mode and 

off mode energy conservation standards, 

and clarifying that the requirement for 

certifying the type of ignition system 

applies to all gas-fired boilers (rather 

than just cast iron sectional gas-fired 

boilers). 

(5) Add certification provisions at 10 

CFR 429.17 to require water heater 

manufacturers to report the number of 

annual shipments of grid-enabled water 

heaters. 

(6) Add certification provisions at 10 

CFR 429.19 to require dishwasher 

manufacturers to indicate use of a new 

detergent formulation that replaces the 

detergent formulation currently 

specified, which has been discontinued. 

(7) Add certification provisions at 10 

CFR 429.46 to require CCW 

manufacturers to report model 

characteristics used for determining 

applicable standards and for conducting 

product-specific enforcement 

provisions; and specify rounding 

instructions for these reported values. 

(8) Establish an annual filing date in 

10 CFR 429.12, by which manufacturers 

of battery chargers would be required to 

submit the required certification 

information to DOE. 

(9) Clarify the certification reporting 

requirements in 10 CFR 429.59 for 

DPPPs. 

DOE’s current and proposed reporting 

requirements, as well as the reason for 

the proposed change, are summarized in 

Table II.1 of this document. 

TABLE II.1—SUMMARY OF PROPOSED CHANGES TO CERTIFICATION REPORTING REQUIREMENTS RELATIVE TO CURRENT

CERTIFICATION REPORTING REQUIREMENTS

Current DOE certification reporting requirements Proposed certification reporting 

requirements Attribution 

For CFLKs, no reporting requirement for efficacy for a 

lamp and integrated SSL circuitry.

Add reporting requirement for efficacy in lumens per 

watt (lm/W) and for lumen output in lumens (to determine the minimum efficacy standard) for a lamp 

and integrated SSL circuitry in a CFLK.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards. 

For CFLKs, no reporting requirements for lumen 

maintenance at 1,000 hours, lumen maintenance at 

40 percent of lifetime, the results of rapid cycle 

stress testing, and lifetime for medium screw base 

CFLs.

Add reporting requirements to specify the lumen 

maintenance at 1,000 hours in percent, lumen 

maintenance at 40 percent of lifetime in percent, 

number of units passing rapid cycle stress testing, 

and the lifetime in hours for medium screw base 

CFLs in a CFLK.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards. 

For CFLKs, no reporting requirement specifying that a 

CFLK with pin-based sockets for fluorescent lamps 

have an electronic ballast.

Add reporting requirement to provide a declaration 

that CFLKs with pin-based sockets for fluorescent 

lamps have an electronic ballast.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards. 

For CFLKs, no reporting requirement specifying that a 

CFLK is packaged with lamps to fill all sockets.

Add reporting requirement to provide a declaration 

that CFLKs are packaged with lamps to fill all 

sockets.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards. 

For CFLKs, no reporting requirement for lab accreditation.Add requirement for declaration that lamps packaged 

with CFLKs were tested by an International Laboratory Accreditation Cooperation (‘‘ILAC’’) accredited laboratory as required under 10 CFR 430.25.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with laboratory accreditation requirements in 

10 CFR 430.25. 

For CFLKs, no reporting requirement for test sample 

size or kind of lamp for basic model of lamp.

Add a reporting requirement to provide the test sample size and kind of lamp for each basic model of 

lamp in the CFLK.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with sampling requirements in 10 CFR 

429.12(b). 


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TABLE II.1—SUMMARY OF PROPOSED CHANGES TO CERTIFICATION REPORTING REQUIREMENTS RELATIVE TO CURRENT

CERTIFICATION REPORTING REQUIREMENTS—Continued 

Current DOE certification reporting requirements Proposed certification reporting 

requirements Attribution 

For GSILs and IRLs, does not require reporting all 

metrics that aid in ensuring compliance.

Add reporting requirements for rated voltage, lamp 

diameter, and CRI for IRLs and initial lumen output 

for GSILs.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with existing standards or product class characterizations. 

For ceiling fans, reporting requirement includes number of speeds and design requirement declaration.Add reporting requirements for small diameter ceiling 

fans to include blade span, ceiling fan efficiency in 

CFM/W, declarations regarding multi-head fans 

along with additional product-specific information 

for small-diameter ceiling fans: Standby power, 

blade edge thickness (in), airflow (CFM) at high 

speed, blade RPM at high speed, and the distance 

(in) between the ceiling and the lowest point on the 

fan blades (in both hugger and standard configurations for multi-mount fans).

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards to reflect the January 2017 CF ECS 

Final Rule. 

For ceiling fans, reporting requirement includes number of speeds and design requirement declaration.Add reporting requirements for large diameter ceiling 

fans to include CFEI for high speed and 40 percent 

speed or the nearest speed that is not less than 40 

percent speed.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards to reflect the Energy Act of 2020. 

For ceiling fans, no rounding requirements for the 

small diameter or large diameter ceiling fan efficiencies.

Amend 10 CFR 429.32 to specify that represented 

values of efficiency must be rounded to the nearest 

whole number for small diameter ceiling fans in 

terms of CFM/W and to the nearest hundredth for 

large diameter ceiling fans in terms of CFEI.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 21, 2020 energy conservation 

standards to reflect the January 2017 CF ECS 

Final Rule and the Energy Act of 2020. 

For consumer boilers, non-weatherized oil-fired furnaces (including mobile home furnaces) and electric furnaces, no reporting requirement for standby 

mode and off mode energy consumption.

Add reporting requirement for standby mode and off 

mode energy consumption of consumer boilers, 

non-weatherized oil-fired furnaces (including mobile 

home furnaces), and electric furnaces.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with May 1, 2013 energy conservation standards for non-weatherized oil-fired furnaces (including mobile home furnaces) and electric furnaces, 

and the January 15, 2021 energy conservation 

standards for consumer boilers. 

For gas-fired boilers, reporting requirement to certify 

type of ignition system applies only to cast iron sectional gas-fired boilers.

Expand reporting requirement for type of ignition system to apply to all gas-fired boiler.Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with September 1, 2012 energy conservation 

standards, which includes a prescriptive requirement that disallows a constant-burning pilot ignition 

for all gas-fired boilers. 

For grid-enabled water heaters, no requirement for 

manufacturers to submit annual shipment data.

Require manufacturers to submit annual shipment 

data for grid-enabled water heaters at 10 CFR 

429.17.

Required by EPCA under 42 U.S.C. 6295(e)(6)(C)(i). 

For testing dishwashers, no reporting requirement for 

certification based on testing with an alternate detergent in place of the one currently specified for 

use, which has been discontinued.

Require manufacturers to report use of the new detergent formulation that replaces the detergent formulation currently specified.Required to ensure that any assessment or enforcement testing would be performed using the same 

detergent used by the manufacturer for certifying 

compliance with the energy conservation standards. 

For CCWs, does not require reporting of clothes container capacity, loading axis, or remaining moisture 

content value.

Add reporting requirements for clothing container capacity, type of loading (top-loading or front-loading), and remaining moisture content, including applicable rounding instructions for these reported 

values.

Required to verify whether the information provided is 

consistent with the certifier’s statement of compliance with January 1, 2018 energy conservation 

standards and to conduct product-specific enforcement provisions. 

For battery chargers, reporting requirements are included in 10 CFR 429.39, but no annual filing date 

is specified in 10 CFR 429.12.

Establish an annual filing date of September 1, by 

which manufacturers would be required to submit 

required reporting information to DOE.

Required to ensure certification information is current 

on an annual basis, consistent with the requirements for other covered products and equipment. 

For DPPPs, includes certification reporting requirements for certain models that may cause confusion 

as to the scope of these provisions.

Clarify that reporting requirements apply only to models subject to energy conservation standards.Eliminate possible misunderstanding that these reporting requirements apply to models that are not 

subject to energy conservation standards, when in 

fact these requirements do not apply to such models, per the current provisions in § 429.12(a). 

DOE is not proposing amendments to 

the test procedures or energy 

conservation standards for CFLKs, 

GSILs, IRLs, ceiling fans, consumer 

furnaces and boilers, consumer water 

heaters, dishwashers, CCWs, battery 

chargers, or DPPPs. 

III. Discussion 

Certification of compliance to DOE is 

a mechanism that helps manufacturers 

understand their obligations for 

distributing models of covered products 

and equipment that are subject to energy 

conservation standards. Certification 

reports include characteristics of 

covered products or equipment used to 

determine which standard applies to a 

given basic model, and they also help 

DOE identify models and/or regulated 

entities that may not be in compliance 

with the applicable regulations. 

For the products and equipment 

addressed in this NOPR, DOE has 

identified areas in which the 

certification reporting requirements are 

not consistent with the information 

required to verify whether the 

information provided is consistent with 

the certifier’s statement of compliance 

with current energy conservation 

standards. DOE is proposing 

amendments to the certification and 

reporting provisions for these products 

and equipment, as discussed in the 

following sections, to ensure reporting 

that is consistent with currently 

applicable energy conservation 

standards and to ensure DOE has the 

information necessary to determine the 

appropriate classification of products 

for the application of standards. In 

addition to the specific proposals 

discussed in the following sections, 

DOE is also proposing minor 


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43128 Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Proposed Rules 

10CFLKs that meet the January 21, 2020 efficacy 

standards are presumed to meet the EPCAmandated 190 W limit requirement. See 42 U.S.C. 

6295(ff)(4)(C) and 10 CFR 430.32(s)(5). 

amendments to ensure consistency 

among terms used throughout DOE’s 

certification and reporting provisions. 

A. Ceiling Fan Light Kits 

1. Scope of Applicability 

This NOPR applies to CFLKs, which 

are products designed to provide light 

from a ceiling fan and can be either: (1) 

Integral, such that the equipment is 

attached to the ceiling fan prior to the 

time of retail sale; or (2) attachable, such 

that at the time of retail sale the 

equipment is not physically attached to 

the ceiling fan, but may be included 

inside the ceiling fan packaging at the 

time of sale or sold separately for 

subsequent attachment to the fan. 10 

CFR 430.2 (42 U.S.C. 6291(50)). In the 

December 2015 CFLK TP Final Rule, 

DOE revised its interpretation of the 

CFLK definition to state that the 

requirement for a CFLK to be ‘‘designed 

to provide light’’ includes all light 

sources in a CFLK, including accent 

lighting. 80 FR 80209, 80214. DOE seeks 

comment on whether CFLKs are still 

being distributed in commerce that were 

manufactured prior to January 21, 2020, 

and therefore, DOE should retain 

compliance requirements for these 

standards. 

2. Reporting 

Under the existing requirements in 10 

CFR 429.33(b), manufacturers must 

report: (1) System efficacy and rated 

wattage for CFLKs with medium screw 

base lamps; (2) system efficacy, rated 

wattage, and lamp length for CFLKs 

with pin-based fluorescent lamps; and 

(3) rated wattage and number of 

individual sockets for CFLKs with any 

other socket type. The existing reporting 

requirements also require a declaration 

that CFLKs with any other socket type 

(i.e., not medium screw base or pinbased) meet the applicable design 

requirements. These requirements 

provide for certifying compliance with 

the January 1, 2007 standards. DOE is 

proposing to replace these requirements 

and align the reporting requirements 

with the January 21, 2020 standards and 

proposing general certification 

requirements for CFLKs. DOE discusses 

these proposed updates in the sections 

as follows. 

a. Efficacy 

The January 21, 2020 standards 

require that all lamps and integrated 

SSL packaged with CFLKs meet certain 

efficacy standards based on the lumens 

of the lamp. To reflect the January 21, 

2020 standards, DOE proposes to 

require a certification report to identify 

each basic model of lamp or integrated 

SSL circuitry packaged with the CFLK 

basic model and to provide the 

corresponding lumen output in lumens 

and the efficacy in lumens per watt 

(‘‘lm/W’’) for each lamp/SSL basic 

model. The inclusion of basic model 

number, associated lumen output, and 

efficacy in the certification report 

provides necessary data to determine 

whether the basic model of the lamp in 

the CFLK complies with the January 21, 

2020 standards requiring a minimum 

efficacy based on the lumens of the 

lamp. 

The current test procedures and 

reporting requirements for various 

lighting products do not all use the 

same terms for lumen output and 

efficacy (e.g., lumen output, average 

lumen output, initial lumen output, 

rated lumen output, efficacy, lamp 

efficacy, initial lamp efficacy, system 

efficacy). DOE therefore proposes to use 

the common terms ‘‘lumen output’’ and 

‘‘efficacy’’ to identify the required 

values, and to make conforming 

revisions to the rounding requirements 

at 10 CFR 429.33(c). 

DOE seeks comments on requiring the 

reporting of lumen output and efficacy 

to certify compliance to January 21, 

2020 standards. 

b. Lumen Maintenance, Lifetime, and 

Rapid Cycle Stress Test 

Both the January 1, 2007 standards 

and January 21, 2020 standards include, 

for medium screw base CFLs packaged 

with a CFLK, minimum requirements 

for lumen maintenance at 1,000 hours, 

lumen maintenance at 40 percent of 

lifetime, lifetime, and the number of 

units in the tested sample that must 

pass the rapid cycle stress test. 10 CFR 

430.32(s)(3)(i) and (s)(6)(i). Currently, 

the reporting requirements do not reflect 

these requirements for CFLs packaged 

with CFLKs. DOE proposes to require 

these values to verify whether the 

information provided is consistent with 

the certifier’s statement of compliance 

with the January 21, 2020 standards. 

Specifically, for CFLKs packaged with a 

medium screw base CFL, for each basic 

model of CFL, DOE proposes to require 

reporting lumen maintenance at 1,000 

hours and lumen maintenance at 40 

percent of lifetime in percentages; 

lifetime in hours; and the number of 

CFL units that pass rapid cycle stress 

testing. Similar to DOE’s reporting 

requirements for CFLs sold individually 

(see 10 CFR 429.35), DOE proposes to 

allow certification of lumen 

maintenance at 40 percent of lifetime, 

lifetime, and rapid cycle stress testing of 

a medium screw base CFL in a CFLK to 

be based on estimations until testing is 

complete. This would allow new basic 

models of CFLKs with medium screw 

based CFLs to be distributed prior to 

completion of lifetime testing. 

DOE seeks comment on reporting 

lumen maintenance at 1,000 hours and 

at 40 percent of lifetime, lifetime, and 

the rapid cycle stress test results for 

medium screw base CFLs in CFLKs. 

DOE seeks comment on allowing 

estimates for lumen maintenance at 40 

percent of lifetime, lifetime, and the 

rapid cycle stress test result. 

c. Design Requirement Declarations 

The January 21, 2020 standards 

continue to require that CFLKs with 

pin-based sockets for fluorescent lamps 

must use an electronic ballast. 10 CFR 

430.32(s)(6)(ii). The current certification 

reporting requirements require for 

CFLKs with any socket type other than 

medium screw base or pin base a 

declaration that the basic model meets 

the applicable EPCA design 

requirement 10 and that the features that 

have been incorporated into the ceiling 

fan light kit meet the applicable design 

requirement (e.g., circuit breaker, fuse, 

ballast). 10 CFR 429.33(b)(3). DOE 

proposes to make this declaration more 

specific to existing requirements and 

require that, for a CFLK with a pinbased socket for a fluorescent lamp, the 

manufacturer provide in the 

certification report a declaration that 

that such a CFLK has an electronic 

ballast. This will allow DOE to verify 

whether the information provided is 

consistent with the certifier’s statement 

of compliance with the January 21, 2020 

standard requirement that a pin-based 

socket fluorescent lamp in a CFLK have 

an electronic ballast. 10 CFR 429.12(b). 

The January 21, 2020 standards also 

continue to require that, for all lamp 

types, the CFLK be packaged with lamps 

to fill all of the sockets. 10 CFR 

430.32(s)(6). DOE proposes to require a 

declaration that the CFLK is packaged 

with lamps to fill all sockets of all lamp 

types (e.g., candelabra base, medium 

screw base, pin-based). The declaration 

provides DOE with data indicating 

whether the manufacturers have 

addressed the January 21, 2020 standard 

requirement that for all lamp types the 

CFLK is packaged with lamps to fill all 

of the sockets. 

DOE seeks comment on requiring a 

declaration that pin-based fluorescent 

lamps in CFLKs have an electronic 

ballast. DOE also seeks comment on 

requiring a declaration that the CFLK 

are packaged with lamps sufficient to 

fill all sockets. 


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11Reflector (‘‘R’’), parabolic aluminized reflector 

(‘‘PAR’’), elliptical reflector (‘‘ER’’), bulged reflector 

(‘‘BR’’), bulged parabolic aluminized reflector 

(‘‘BPAR’’). 

12Section 321(a) of EISA 2007 established CRI 

requirements for lamps that are intended for a 

general service or general illumination application 

(whether incandescent or not); have a medium 

screw base or any other screw base not defined in 

ANSI C81.61–2006; are capable of being operated at 

a voltage at least partially within the range of 110 

to 130 volts; and are manufactured or imported after 

December 31, 2011. 

d. Basic Model, Lamp Type, and Sample 

Size Requirements 

In this NOPR, DOE is also proposing 

certain certification reporting 

requirements for CFLKs to provide 

further specificity as to what is required 

to be reported. DOE is proposing to add 

language in 10 CFR 429.33(b) stating 

that manufacturers must provide 

certification values for each basic model 

of lamp included in the basic model of 

CFLK under test. This will allow DOE 

to use the appropriate certification 

values to verify whether the information 

provided is consistent with the 

certifier’s statement of compliance with 

January 21, 2020 standards. If the same 

basic model of lamp is used in multiple 

CFLK basic models, manufacturers may 

use the same set of test data for that 

basic model of lamp to show 

compliance for each CFLK basic model 

in which it is included. 

DOE is also proposing manufacturers 

provide the test sample size and kind of 

lamp for each basic model of a lamp 

and/or each basic model of integrated 

SSL circuitry packaged with a basic 

model of CFLK. Because pin-based 

socket fluorescent lamps and mediumbased socket CFLs in CFLKs are lamp 

types subject to additional standards, 

the lamp type of the basic model in the 

CFLK is necessary to determine which 

product class the basic model falls into. 

Additionally, DOE is proposing that 

manufacturers provide, if applicable, a 

declaration that each basic model of 

lamp packaged with the basic model of 

CFLK was tested by an ILAC accredited 

laboratory. Lamps identified in 10 CFR 

430.25 must be tested by laboratories 

with these accreditation requirements, 

and this declaration will allow DOE to 

verify whether the information provided 

is consistent with the certifier’s 

statement of compliance with this 

requirement. DOE seeks comment on 

the other proposed amendments to the 

certification reporting requirements. 

e. Rounding Requirements 

DOE is proposing rounding 

requirements for the certification 

reporting requirements proposed in this 

notice. DOE is proposing that lumen 

output be rounded to three significant 

digits; lumen maintenance at 1,000 

hours and at 40 percent of lifetime be 

rounded to the nearest tenth of a 

percent; and lifetime be rounded to the 

nearest whole hour. Currently, DOE 

specifies that any represented value of 

initial lamp efficacy, system efficacy or 

luminaire efficacy be rounded to the 

nearest tenth. DOE is proposing to 

simplify this to state any represented 

value of efficacy be rounded to the 

nearest tenth. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

CFLK certification reporting 

requirements with the energy 

conservation standard requirements 

applicable to CFLKs manufactured on 

and after January 21, 2020. 

For CFLKs with sockets for medium 

screw base lamps, manufacturers 

currently report two values (i.e., 

efficacy, wattage), but would report four 

to nine values (e.g., efficacy, lumen 

output, test sample size, kind of lamp, 

a declaration of ILAC accreditation, 

lumen maintenance at 40 percent of 

lifetime, lumen maintenance at 1,000 

hours, lifetime, units passing rapid 

cycle stress test), depending on the kind 

of lamps packaged with the CFLK, if the 

proposed amendments are adopted. For 

CFLKs with pin-based sockets for 

fluorescent lamps, manufacturers 

currently report three values (i.e., 

efficacy, wattage, length of lamp) and 

would report five values (i.e., efficacy, 

lumen output, test sample size, kind of 

lamp, and a declaration of ILAC 

accreditation), if the proposed 

amendments are adopted. For CFLKs 

with lamps of other socket types, 

manufacturers currently report two 

values (i.e., wattage, number of 

individual sockets), but would report 

five values (i.e., efficacy, lumen output, 

test sample size, kind of lamp, and a 

declaration of ILAC accreditation), if the 

proposed amendments are adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

CFLKs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. DOE does not 

believe the revised reporting 

requirements will cause any measurable 

change in reporting burden or hours as 

compared to what CFLK manufacturers 

are currently doing today. DOE requests 

comment on the certification reporting 

costs of the amendments proposed for 

CFLKs. 

B. GSILs and IRLs 

1. Scope of Applicability 

This NOPR applies to GSILs and IRLs. 

DOE defines GSILs as a standard 

incandescent or halogen type lamp 

intended for general service 

applications; has a medium screw base; 

has a lumen range between 310–2600 

lumens or, in the case of a modified 

spectrum lamp, between 232–1,950 

lumens; and is capable of being 

operated at a voltage range at least 

partially within 110–130 volts. The 

GSIL definition does not include certain 

lamp types (see 10 CFR 430.2). 10 CFR 

430.2. DOE defines IRLs as any lamp in 

which light is produced by a filament 

heated to incandescence by an electric 

current; contains an inner reflective 

coating on the outer bulb to direct the 

light; is not colored; is not designed for 

rough or vibration service applications; 

is not an R20 short lamp; has an R, PAR, 

ER, BR, BPAR,11 or similar bulb shapes 

with an E26 medium screw base; has a 

rated voltage or voltage range that lies 

at least partially in the range of 115–130 

volts; has a diameter that exceeds 2.25 

inches; and has a rated wattage that is 

40 watts or higher. 10 CFR 430.2. 

2. Reporting 

Under the existing requirements in 10 

CFR 429.27(b)(2)(ii) for IRLs 

manufacturers must report: (1) The 

testing laboratory’s International 

Laboratory Accreditation Cooperation 

(‘‘ILAC’’) accreditation body’s 

identification number or other approved 

identification assigned by the ILAC 

accreditation body; (2) production dates 

of the units tested; (3) the 12-month 

average lamp efficacy in lumens per 

watt (lm/W), and (4) lamp wattage (W). 

EISA 2007 established a CRI 

requirement for IRLs.12 In the June 2021 

NOPR, DOE is proposing to include a 

test method for determining CRI of IRLs. 

86 FR 29888, 29902. To verify whether 

the information provided is consistent 

with the certifier’s statement of 

compliance with standards, DOE is 

proposing to require the reporting of CRI 

for IRLs. Additionally, for IRLs DOE is 

proposing to require the reporting of 

rated voltage and lamp diameter. 

Because rated voltage and lamp 

diameter are used to determine the 

applicable energy conservation 

standards for IRLs, collecting this 

information helps DOE evaluate 

whether a basic model meets the 

appropriate energy conservation 

standard requirements (see 10 CFR 

430.32(n)(6)). DOE is proposing to add 

rated voltage, lamp diameter and CRI for 

IRLs only for annual filing certification 


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reporting and not for the new basic 

model initial certification reporting. In 

the June 2021 NOPR, DOE is proposing 

to remove the requirement of submitting 

new basic model initial certification 

reports for IRLs. 86 FR 29888, 29905. 

Hence, in this NOPR, DOE does not 

propose to make changes to the initial 

certification reporting for IRLs. If the 

proposed removal of initial certification 

reports for IRLs is not adopted, DOE 

will add these values to the initial 

certification reporting requirements. 

DOE seeks comments on requiring the 

reporting of CRI to certify compliance 

with existing energy conservation 

standard requirements for IRLs. DOE 

also seeks comment on requiring the 

reporting of lamp diameter and rated 

voltage to help determine the applicable 

energy conservation standard for IRLs. 

Under the existing requirements in 10 

CFR 429.27(b)(2)(iii) for GSILs 

manufacturers must report: (1) The 

testing laboratory’s ILAC accreditation 

body’s identification number or other 

approved identification assigned by the 

ILAC accreditation body; (2) production 

dates of the units tested; (3) the 12- 

month average maximum rate wattage in 

watts (‘‘W’’); (4) the 12-month average 

minimum rated lifetime (hours), and (5) 

the 12-month average CRI. DOE is 

proposing to also require the reporting 

of initial lumen output for GSILs 

because the lamp lumens help DOE 

evaluate whether a basic model meets 

the appropriate energy conservation 

standard requirements (see 10 CFR 

430.32(x)). DOE seeks comment on 

requiring the reporting of initial lumen 

output to help determine the applicable 

energy conservation standard for GSILs. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

IRL certification reporting requirements 

with the existing energy conservation 

standard requirements. Additionally, it 

proposes to include reporting 

requirements for GSILs and IRLs that 

will help DOE determine applicable 

energy conservation standards for these 

products. 

For IRLs, manufacturers currently 

certify four values (i.e., ILAC 

accreditation, production dates, lamp 

efficacy, and lamp wattage), but would 

report seven values with the three 

additional proposed reporting values 

(i.e., CRI, lamp diameter, rated voltage), 

if the proposed amendments are 

adopted. For GSILs, manufacturers 

currently report five values (i.e., ILAC 

accreditation, production dates, wattage, 

lifetime, and CRI), but would report six 

values with the one additional proposed 

reporting value (i.e., lumens), if the 

proposed amendments are adopted. 

Note that in the June 2021 NOPR, DOE 

is proposing to remove the reporting of 

production dates for IRLs and GSILs. 86 

FR 29888, 29905. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

IRLs and GSILs are already submitting 

certification reports to DOE. Hence, 

manufacturers should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking because it is necessary to 

determine applicable energy 

conservation standards or to meet 

existing statutory requirements. DOE 

does not believe the revised reporting 

requirements will cause any measurable 

change in reporting burden or hours as 

compared to what manufacturers of IRLs 

and GSILs are currently doing today. 

DOE requests comment on the 

certification and reporting costs of the 

amendments proposed for IRLs and 

GSILs and whether it will result in an 

increase in reporting burden. 

C. Ceiling Fans 

1. Scope of Applicability 

The Energy Policy and Conservation 

Act defines ‘‘ceiling fan’’ as ‘‘a 

nonportable device that is suspended 

from a ceiling for circulating air via the 

rotation of fan blades.’’ (42 U.S.C. 

6291(49)) DOE codified the statutory 

definition in 10 CFR 430.2. In the July 

2016 Final Rule, DOE stated that the test 

procedure applies to any product 

meeting this definition, including fans 

designed for applications where large 

airflow volume may be needed and 

highly decorative fans. 81 FR 48620, 

48622. DOE stated, however, that the 

ceiling fan test procedure does not 

apply to the following fans: belt-driven 

ceiling fans, centrifugal ceiling fans, 

oscillating ceiling fans, and ceiling fans 

whose blades’ plane of rotation cannot 

be within 45 degrees of horizontal. Id. 

2. Reporting 

Ceiling fan manufacturers must 

submit certification reports for ceiling 

fan basic models before they are 

distributed in commerce. 10 CFR 

429.12. The current requirements for 

certification reports for ceiling fans 

correspond to the design requirements 

specified in EPCA. (See 42 U.S.C. 

6295(ff)(1)) These requirements are set 

forth at 10 CFR 429.32(b), which 

requires reporting of the number of 

speeds within the ceiling fan controls, 

and a declaration that the manufacturer 

has incorporated the applicable design 

requirements. The current certification 

requirements do not reflect the amended 

energy conservation standards adopted 

in the January 2017 CF ECS final rule 

or the amended standards for largediameter ceiling fans adopted by 

Congress in the Energy Act of 2020. 82 

FR 6826; 42 U.S.C. 6295(ff)(6)(C)(i), as 

codified; 86 FR 28469. 

a. Small-Diameter Ceiling Fan 

Requirements 

In the September 2019 NOPR, DOE 

proposed to update the reporting 

requirements for ceiling fans to include 

product-specific information that would 

be required to certify compliance with 

the amended energy conservation 

standards established in January 2017 

CF ECS final rule. 84 FR 51440, 51450. 

DOE did not finalize the proposed 

requirements from the September 2019 

NOPR and is revisiting the certification 

and rounding requirements in this 

NOPR with a new proposal. 

Product-specific information is 

necessary to determine the product class 

and minimum allowable ceiling fan 

efficiency that would be required to 

certify compliance with current energy 

conservation standards. For smalldiameter ceiling fans, the product class 

(i.e., very small-diameter, standard, 

hugger, high-speed small-diameter) is 

determined using blade span (in), blade 

edge thickness (in), airflow (CFM) at 

high speed, blade revolutions per 

minute (‘‘RPM’’) at high speed, and the 

represented distance (in) between the 

ceiling and the lowest point on the fan 

blades. Further, identification of 

whether a small-diameter ceiling fan is 

a multi-head ceiling fan is necessary to 

determine applicable standards. 

Specifically, a multi-head ceiling fans 

require calculating ceiling fan efficiency 

differently than other small-diameter 

ceiling fans by including the airflow and 

power consumption of all fan heads (see 

section 4.1.1 of appendix U). 

Accordingly, DOE proposes to require 

that certification reports include the 

following public product-specific 

information for each ceiling fan basic 

model: (1) Blade span in inches; (2) 

ceiling fan efficiency in CFM/W; and (3) 

a declaration whether the fan is a multihead ceiling fan. 

For each ceiling fan basic model, DOE 

also proposes to require additional 

product-specific information, including: 

(1) Blade edge thickness (in), airflow 

(CFM) at high speed, and blade 

revolutions per minute (‘‘RPM’’) at high 

speed; and (2) for LSSD ceiling fans, the 

distance (in) between the ceiling and the 

lowest point on the fan blades. 

Manufacturers are already required to 

determine these values as part of the 

current test procedure for ceiling fans 

and would be required to use these 


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values to determine which amended 

energy conservation standards apply to 

their basic models. 

Further, DOE proposes to require 

reporting of standby power 

consumption (in watts) for smalldiameter ceiling fans. DOE notes that 

standby power consumption is already 

required to be measured in section 3.6 

of appendix U and is an input into the 

calculation of ceiling fan efficiency in 

section 4 of appendix U. Therefore, DOE 

determines that the reporting of standby 

power for these ceiling fans will not 

result in an increase in reporting burden 

for manufacturers. 

b. Large-Diameter Ceiling Fan 

Requirements 

The LDCF product class is identified 

based on blade span (in) only. In 

addition, consistent with the Energy Act 

of 2020, LDCFs must now meet two 

separate standards based on the CFEI 

metric, with one standard based on 

operation of the fan at high speed and 

a second standard based on operation of 

the fan at 40 percent speed or the 

nearest speed that is not less than 40 

percent speed. (See 42 U.S.C. 

6295(ff)(6)(C)(i)(II), as codified) 

Accordingly, DOE proposes to amend 

the reporting requirements for LDCFs to 

require reporting blade span in inches, 

CFEI for high speed, and CFEI for 40 

percent speed or the nearest speed that 

is not less than 40 percent speed. 

c. Rounding Requirements 

DOE proposes amendments to 10 CFR 

429.32 to specify that represented 

values are to be determined consistent 

with the test procedures in appendix U 

and to specify rounding requirements 

for represented values. DOE proposes 

that manufacturers round any 

represented value of ceiling fan 

efficiency for small diameter ceiling 

fans, expressed in CFM/W, to the 

nearest whole number. Additionally, for 

large diameter fans, DOE proposes to 

specify that any represented value of 

CFEI must be rounded to the nearest 

hundredth of a CFEI. 

DOE seeks comment on the proposed 

updated reporting requirements for 

small-diameter ceiling fans and LDCFs. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

ceiling fan certification reporting 

requirements with the energy 

conservation standard requirements 

applicable to ceiling fans manufactured 

on and after January 21, 2020, and with 

the May 2021 Technical Amendment. 

For all ceiling fans, manufacturers 

currently report two fields (i.e., the 

number of speeds within the ceiling fan 

controls and a declaration that the 

manufacturer has incorporated the 

applicable design requirements). 10 CFR 

429.32(b)(2). For small-diameter ceiling 

fans, manufacturers would be required 

to additionally report five to eight fields 

(i.e., blade span, CFM/W, standby 

power, a declaration whether the fan is 

a multi-head ceiling fan, blade edge 

thickness, CFM and RPM at high speed, 

and the represented distance between 

the ceiling and the lowest point on the 

fan blades), if the proposed amendments 

are adopted. For large-diameter ceiling 

fans, manufacturers would be required 

to additionally report three fields (i.e., 

blade span, CFEI for high speed and 40 

percent speed or the nearest speed that 

is not less than 40 percent speed), if the 

proposed amendments are adopted. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers because manufacturers of 

ceiling fans are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. Any added fields are 

reflective of the product-specific 

information needed to verify whether 

the information provided is consistent 

with the certifier’s statement of 

compliance with the energy 

conservation standard requirements 

applicable to ceiling fans manufactured 

on and after January 21, 2020, 

established in January 2017 CF ECS 

final rule and the Energy Act of 2020. 

DOE does not believe the revised 

reporting requirements will cause any 

measurable change in reporting burden 

or hours as compared to the current 

requirements for ceiling fan 

manufacturers. DOE seeks comment on 

the certification and reporting costs of 

the amendments proposed for ceiling 

fans. 

D. Consumer Furnaces and Boilers 

1. Scope of Applicability 

EPCA defines the term ‘‘furnace’’ to 

mean a product which utilizes only 

single-phase electric current, or singlephase electric current or DC current in 

conjunction with natural gas, propane, 

or home heating oil, and which: (1) Is 

designed to be the principal heating 

source for the living space of a 

residence; (2) is not contained within 

the same cabinet with a central air 

conditioner whose rated cooling 

capacity is above 65,000 Btu per hour; 

(3) is an electric central furnace, electric 

boiler, forced-air central furnace, gravity 

central furnace, or low pressure steam 

or hot water boiler; and (4) has a heat 

input rate of less than 300,000 Btu per 

hour for electric boilers and low 

pressure steam or hot water boilers and 

less than 225,000 Btu per hour for 

forced-air central furnaces, gravity 

central furnaces, and electric central 

furnaces. (42 U.S.C. 6291(23)) DOE has 

codified this definition at 10 CFR 430.2, 

where it also defines ‘‘electric central 

furnace,’’ ‘‘electric boiler,’’ ‘‘forced-air 

central furnace,’’ ‘‘gravity central 

furnace,’’ and ‘‘low pressure steam or 

hot water boiler’’. 

The changes proposed in this section 

apply to non-weatherized oil-fired 

furnaces, electric furnaces, and 

consumer boilers meeting the 

definitions in 10 CFR 430.2. 

2. Reporting 

Consumer furnace and boiler 

manufacturers currently must provide 

the AFUE in percent and the input 

capacity in British thermal units per 

hour (‘‘Btu/h’’) in their certification 

report. In addition, for cast-iron 

sectional boilers, manufacturers must 

include the type of ignition system for 

gas-fired steam and hot water boilers 

and a declaration of whether 

certification is based on linear 

interpolation or testing. For hot water 

boilers, manufacturers must also 

include a declaration that the 

manufacturer has incorporated the 

applicable design requirements. For 

multi-position furnaces, the AFUE 

reported for each basic model must be 

based on testing in the least-efficient 

configuration, but manufacturers can 

optionally report and make 

representations of additional AFUE 

values based on testing in other 

configurations. 10 CFR 429.18(b). DOE 

proposes to modify some of these 

requirements and add new requirements 

to better align with the existing 

standards and aid in determining which 

energy conservation standards apply to 

a given basic model for non-weatherized 

oil-fired consumer furnaces (including 

mobile home furnaces), electric 

consumer furnaces, and consumer 

boilers. The specific changes are 

discussed in more detail in the 

following sections. 

a. Standby Mode and Off Mode Energy 

Consumption 

DOE’s current standby mode and off 

mode energy consumption standards for 

non-weatherized oil-fired furnaces 

(including mobile home furnaces), 

electric furnaces, and consumer boilers 

are in terms of PW,SB and PW,OFF (watts). 

10 CFR 430.32(e)(1)(iii) and (e)(2)(iii)(B). 

However, the reporting requirements for 

consumer furnaces and boilers at 10 

CFR 429.18 do not include a 

requirement to certify the standby mode 


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and off mode energy consumption of 

non-weatherized oil-fired furnaces 

(including mobile home furnaces), 

electric furnaces, or consumer boilers. 

Therefore, DOE proposes to require that 

manufacturers report values for PW,SB

and PW,OFF in their certification reports 

for non-weatherized oil-fired furnaces 

(including mobile home furnaces), 

electric furnaces, and consumer boilers. 

Additionally, some manufacturers of 

consumer furnaces and consumer 

boilers use identical controls and 

electrical components across various 

models and/or product lines with 

different characteristics (e.g., input 

capacity) and across AFUE levels. The 

differences in characteristics may 

prevent these basic models from being 

grouped as a single basic model, but 

because the basic models have identical 

controls and electrical components 

affecting standby mode and off mode 

energy consumption, the standby mode 

or off mode test result would be 

expected to be the same for both 

models. Therefore, DOE proposes that if 

all electrical components that would 

impact the standby mode and off mode 

energy consumption are identical 

between multiple basic models, 

manufacturers can optionally test only 

one of the basic models and use test 

data from that basic model to rate the 

standby mode and off mode 

consumption for other basic models 

having identical controls and electrical 

components affecting standby mode and 

off mode energy consumption. 

b. Type of Ignition System for Gas-Fired 

Consumer Boilers 

The energy conservation standards for 

consumer boilers specify that for gasfired hot water boilers and gas-fired 

steam boilers, a constant-burning pilot 

ignition system is not permitted. 10 CFR 

430.32(e)(2)(iii). Currently, 

manufacturers are required to certify the 

type of ignition system only for cast iron 

sectional gas-fired hot water and steam 

boilers. 10 CFR 429.18(b)(2)(ii). ‘‘Cast 

iron sectional’’ refers to the construction 

of the boiler heat exchanger, which is 

composed of cast iron sections. The 

energy conservation standards are not 

limited to only consumer boilers with 

cast iron sectional heat exchangers, but 

rather are applicable to all gas-fired hot 

water boilers and gas-fired steam 

boilers, including those with heat 

exchangers made from other materials 

(e.g., copper, aluminum, stainless steel). 

Therefore, DOE proposes to modify the 

reporting requirement for the type of 

ignition system such that the type of 

ignition system must be certified for all 

gas-fired hot water boilers and gas-fired 

steam boilers. This change would allow 

DOE to confirm that the manufacturerreported type of ignition system for a 

given basic model meets the design 

requirement for all types of gas-fired hot 

water boilers and gas-fired steam 

boilers. In addition, 10 CFR 429.18(b)(3) 

requires that for hot water boilers, the 

manufacturer include in their 

certification report a declaration that the 

manufacturer has incorporated the 

applicable design requirements. As 

discussed, the standards for gas-fired 

steam boilers also include a design 

requirement that use of a constantburning pilot ignition is not permitted. 

Therefore, DOE proposes to update the 

reporting requirements in 10 CFR 

429.18(b)(3) to require that 

manufacturers of gas-fired steam boilers 

also include a declaration in the 

certification report that the basic model 

meets the design requirement criterion. 

c. Rounding Requirements 

DOE is proposing rounding 

requirements for the certification 

reporting requirements proposed in this 

notice for standby mode and off mode 

energy consumption. Specifically, DOE 

proposes to require that values for 

standby mode and off mode energy 

consumption be rounded to the nearest 

0.1 watts. 

In addition, the represented value of 

AFUE currently must be truncated to 

one-tenth of a percentage point. 10 CFR 

429.18(a)(2)(vii). DOE proposes to 

modify this requirement to state that 

AFUE must be rounded to the nearest 

one-tenth of a percentage point. This 

change, if adopted, would treat 

consumer furnaces and boilers in a 

manner consistent with other types of 

covered products and equipment, for 

which represented values are generally 

required to be rounded rather than 

truncated. DOE notes that this change 

could only increase the represented 

AFUE value, and as such manufacturers 

would have an option of whether to rerate the AFUE of existing models that 

would be impacted by this change. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to align 

consumer furnace and boiler 

certification reporting requirements 

with the existing energy conservation 

standard requirements. 

For non-weatherized oil-fired 

consumer furnaces (including mobile 

home furnaces), electric consumer 

furnaces, and consumer boilers, the 

proposed changes, if finalized, would 

require manufacturers to report two 

additional values (i.e., PW,SB and PW,OFF) 

in their annual certification reports. For 

gas-fired hot water and gas-fired steam 

boiler models that are not cast-iron 

sectional boilers, the proposed changes, 

if finalized, would require additional 

reporting of the type of ignition system. 

Manufacturers of consumer furnaces 

and boilers are currently required to 

certify various items to DOE, depending 

on the product class and applicable 

standards, which can include AFUE, 

input rate, type of ignition system, and 

whether applicable design requirements 

are incorporated. Because 

manufacturers of these products are 

already submitting certification reports 

to DOE and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking, DOE does not believe the 

revised reporting requirements would 

cause any appreciable change in 

reporting burden or hours as compared 

to what consumer furnace and boiler 

manufacturers do currently. 

Additionally, because the proposed 

AFUE rounding requirement would 

only increase represented AFUE values, 

manufacturers may choose to maintain 

current AFUE ratings; therefore, DOE 

does not expect any cost associated with 

this proposal. 

The only product class for which no 

certification reporting is currently 

required is electric steam boilers, as 

there is no AFUE standard or design 

requirement for this class. However, 

there are standby mode and off mode 

standards for electric steam boilers, so 

the addition of reporting requirements 

for PW,SB and PW,OFF would require new 

certification reporting for electric steam 

boilers, if manufacturers are not already 

doing so. Costs associated with the 

proposed updates to reporting 

requirements are discussed in section 

IV.C of this document. DOE requests 

comment on its proposed changes to the 

reporting requirements for consumer 

furnaces and boilers, including any cost 

impacts. 

E. Grid-Enabled Water Heaters 

1. Scope of Applicability 

As discussed in section I.B.5 of this 

document, DOE defines a ‘‘grid-enabled 

water heater’’ at 10 CFR 430.2, 

consistent with EPCA’s definition at 42 

U.S.C. 6295(e)(6)(A)(ii), to mean an 

electric resistance water heater that has 

a rated storage tank volume of more 

than 75 gallons, is manufactured on or 

after April 16, 2015, is equipped at the 

point of manufacture with an activation 

lock, and bears a permanent label 

applied by the manufacturer that is 

made of material not adversely affected 

by water, is attached by means of a nonwater-soluble adhesive, and advises 

purchasers and end-users of the 

intended and appropriate use of the 


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13EPCA also requires that utilities and other 

demand response and thermal storage program 

operators report annually the quantity of gridenabled water heaters activated for their programs. 

(42 U.S.C. 6295(e)(6)(C)(ii)) 

14See AHAM DW–1–2020 and AHAM DW–2– 

2020, available at www.aham.org. 

product as part of an electric thermal 

storage or demand response program. 

2. Reporting 

Currently, for grid-enabled consumer 

water heater basic models, 

manufacturers are required to report the 

uniform energy factor (‘‘UEF’’), the rated 

storage volume in gallons, the first-hour 

rating in gallons, the recovery efficiency 

in percent, a declaration that the model 

is a grid-enabled water heater, whether 

it is equipped at the point of 

manufacture with an activation lock, 

and whether it bears a permanent label 

applied by the manufacturer that 

advises purchasers and end-users of the 

intended and appropriate use of the 

product. 10 CFR 429.17(b)(2)(iii). 

EPCA, as amended, requires 

manufacturers to report the quantity of 

grid-enabled water heaters that the 

manufacturer ships each year and 

requires DOE to keep the shipment data 

reported by manufacturers as 

confidential business information.13 (42 

U.S.C. 6295(e)(6)(C)(i)–(iii)) As stated in 

section I.B.5 of this document, the 

August 2015 final rule, which 

established definitions and energy 

conservation standards for grid-enabled 

water heaters, did not establish 

provisions to require the reporting of 

shipments by manufacturers. 80 FR 

48004, 48009–48010 (August 11, 2015). 

Therefore, DOE is proposing to add 

reporting requirements to 10 CFR 429.17 

that would require manufacturers to 

report the total number of grid-enabled 

water heaters shipped each year for sale 

in the U.S., along with the calendar year 

that the shipments cover, in accordance 

with the aforementioned requirement of 

EPCA. DOE also proposes to clarify that 

the annual shipments of grid-enabled 

water heaters reported by manufacturers 

will be treated as confidential business 

information by the Department. Because 

the annual shipments of grid-enabled 

water heaters would be treated 

differently than other water heater 

reporting requirements (i.e., the 

shipments would be reported on an 

annual basis rather than ongoing based 

on model availability; and the reported 

shipments will be treated as 

confidential business information), DOE 

is proposing that the annual shipments 

be reported separately from the other 

certification reporting requirements for 

water heaters in 10 CFR 429.17(b). 

3. Reporting Costs and Impacts 

The addition of reporting 

requirements for annual shipments of 

grid-enabled consumer water heaters 

would newly require manufacturers to 

report this information. DOE discusses 

reporting cost impacts corresponding to 

this proposal in section IV.C of this 

document. DOE requests comment on 

its proposal to add new reporting 

requirements for the number of annual 

shipments of grid-enabled consumer 

water heaters, and on its proposal that 

this information be reported separately 

from the information that is currently 

required to be reported under 10 CFR 

429.17(b). 

F. Dishwashers 

1. Scope of Applicability 

This NOPR applies to dishwashers, 

which are cabinet-like appliances which 

with the aid of water and detergent, 

wash, rinse, and dries (when a drying 

process is included) dishware, 

glassware, eating utensils, and most 

cooking utensils by chemical, 

mechanical and/or electrical means and 

discharge to the plumbing drainage 

system. 10 CFR 430.2. 

2. Reporting 

Under the existing requirements in 10 

CFR 429.19(b), a certification report 

must include the following public 

product-specific information: The 

estimated annual energy use in kilowatt 

hours per year (kWh/yr) and the water 

consumption in gallons per cycle. 10 

CFR 429.19(b)(2). In addition, a 

certification report must include the 

following additional product-specific 

information: The capacity in number of 

place settings as specified in ANSI/ 

AHAM DW–1–2010; presence of a soil 

sensor (if yes, the number of cycles 

required to reach calibration); the water 

inlet temperature used for testing in 

degrees Fahrenheit (°F); the cycle 

selected for energy testing and whether 

that cycle is soil-sensing; the options 

selected for the energy test; and 

presence of a built-in water softening 

system (if yes, the energy use in 

kilowatt-hours and the water use in 

gallons required for each regeneration of 

the water softening system, the number 

of regeneration cycles per year, and data 

and calculations used to derive these 

values). 10 CFR 429.19(b)(3). 

In conducting testing according to 

DOE’s test procedure, section 2.10 of 

appendix C1 specifies using Cascade®

with the Grease Fighting Power of 

Dawn® powder as the detergent 

formulation, at half the quantity 

specified according to section 4.1 of the 

industry standard ANSI/Association of 

Home Appliance Manufacturers 

(‘‘AHAM’’) DW–1–2010 (‘‘ANSI/AHAM 

DW–1–2010’’). During AHAM task 

group meetings in 2020 to establish an 

updated version of the industry 

standard, in which DOE participated, 

AHAM informed DOE that Cascade®

with the Grease Fighting Power of 

Dawn® has been discontinued and has 

been replaced with Cascade® Complete. 

AHAM has updated its industry 

standard to specify the use of Cascade®

Complete for testing.14 Given that the 

currently specified detergent is no 

longer available on the market, DOE 

expects that manufacturers may need to 

(or have already had to) switch to the 

new detergent formulation to conduct 

testing according to appendix C1. 

DOE seeks to ensure that any 

assessment or enforcement testing 

conducted pursuant to 10 CFR 429.104 

and 429.110, respectively, would be 

performed using the same detergent 

used by the manufacturer for certifying 

compliance with the applicable energy 

conservation standard. Therefore, DOE 

is proposing to require manufacturers to 

indicate in the certification report 

whether Cascade® Complete powder 

was used as the detergent formulation in 

lieu of Cascade® with the Grease 

Fighting Power of Dawn®. DOE 

proposes to add this requirement to the 

list of additional product-specific 

information specified at 10 CFR 

429.19(b)(3). 

DOE also proposes to reorganize the 

requirements specified at 10 CFR 

429.19(b)(3) as a numbered list for easier 

readability. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to add 

one additional reported value for 

dishwashers tested using the new 

detergent formulation that replaces the 

currently specified detergent 

formulation. DOE has tentatively 

determined that the proposed 

amendment would not impose 

additional costs for manufacturers 

because manufacturers of dishwashers 

are already submitting certification 

reports to DOE and should have readily 

available the information that DOE is 

proposing to collect as part of this 

rulemaking (i.e., whether a dishwasher 

model was tested using Cascade®

Complete powder as the detergent 

formulation in lieu of Cascade® with the 

Grease Fighting Power of Dawn®). DOE 

does not believe the revised reporting 

requirements would cause any 

measurable change in reporting burden 

or hours as compared to what 


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15Prior to January 1, 2018, the water efficiency 

standard for CCWs was defined using the Water 

Factor metric. 

16The RMC measurement is used to determine 

the per-cycle energy consumption for removal of 

moisture from the test load; i.e., the ‘‘drying energy’’ 

portion of the MEFJ2 calculation. 

17 ‘‘Corrected’’ RMC refers to the final RMC value 

obtained in appendix J2 after applying specified 

correction factors (based on the lot of test cloth used 

for testing) to the ‘‘uncorrected’’ RMC value. 

dishwasher manufacturers are currently 

doing today. 

DOE requests comment on the 

proposed reporting requirement for 

dishwashers, including any 

corresponding certification and 

reporting costs. 

G. Commercial Clothes Washers 

1. Scope of Applicability 

This NOPR applies to commercial 

clothes washers, which means a softmounted front-loading or soft-mounted 

top-loading clothes washer that: (1) Has 

a clothes container compartment that for 

horizontal-axis clothes washers is not 

more than 3.5 cubic feet, and for 

vertical-axis clothes washers is not more 

than 4.0 cubic feet; and (2) is designed 

for use in applications in which the 

occupants of more than one household 

will be using the clothes washer, such 

as multi-family housing common areas 

and coin laundries; or other commercial 

applications. 10 CFR 431.152; 42 U.S.C. 

6311(21). 

2. Reporting 

Under the existing requirements in 10 

CFR 429.46(b), a CCW certification 

report must include the following 

public information: The modified 

energy factor (MEFJ2) in cu ft/kWh/cycle 

and the integrated water factor (IWF) in 

gal/cu ft/cycle. 10 CFR 429.46(b)(2)(ii). 

DOE also maintains reporting 

requirements at 10 CFR 429.46(b)(2)(i) 

for models tested using Appendix J1, 

which as of January 1, 2018 is no longer 

used as the basis for demonstrating 

compliance with energy conservation 

standards. 

In this NOPR, DOE proposes to 

remove the reporting requirements 

currently specified at 10 CFR 

429.46(b)(2)(i) for models tested using 

appendix J1. As discussed, appendix J1 

is used as the basis for demonstrating 

compliance with energy conservation 

standards for CCWs manufactured prior 

to January 1, 2018. DOE also proposes 

to update the term ‘‘water factor’’ in 10 

CFR 429.46(a)(2)(i) to ‘‘integrated water 

factor’’ to match the current metric used 

as the basis for standards.15

In addition, DOE proposes to amend 

the CCW certification reporting 

requirements by adding to the list of 

reported values the clothes container 

capacity (in cubic feet), the type of 

loading (top-loading or front-loading), 

and the corrected RMC value (expressed 

as a percentage), as discussed in the 

following sections. DOE also proposes 

rounding instructions for each newly 

reported value. 

a. Clothes Container Capacity 

DOE’s definition of ‘‘commercial 

clothes washer’’ at 10 CFR 431.152, 

which is consistent with the EPCA 

definition (see 42 U.S.C. 6311(21)), 

incorporates clothes container capacity, 

among other characteristics. 

Specifically, equipment meeting the 

definition of CCW has a clothes 

container compartment that for 

horizontal-axis clothes washers is not 

more than 3.5 cubic feet, and for 

vertical-axis clothes washers is not more 

than 4.0 cubic feet (among other 

criteria). 10 CFR 431.152. Clothes 

container capacity is also a key 

parameter in the calculation of MEFJ2

and IWF, in that capacity is used to 

represent the per-cycle energy and water 

use on per-cubic-foot of capacity basis. 

To verify whether the information 

provided is consistent with the 

certifier’s statement of compliance with 

standards, DOE is proposing to amend 

10 CFR 429.46(b)(2) to add clothes 

container capacity (in cubic feet) to the 

information required to be included in 

the certification report. 

DOE also proposes accompanying 

sampling provisions for determining the 

reported values for capacity. 

Specifically, DOE proposes to add new 

section 10 CFR 429.46(a)(3), which 

would specify that the reported capacity 

of a basic model shall be the mean of the 

measured clothes container capacity, C, 

of all tested units of the basic model. 

This new section would parallel the 

existing requirement for RCWs in 10 

CFR 429.20(a)(3). 

b Axis of Loading 

DOE has established equipment 

classes for CCWs defined by axis of 

loading (i.e., top-loading and frontloading). Separate energy conservation 

standards apply to each class. 10 CFR 

431.156. As such, the axis of loading is 

integral in determining the energy 

conservation standard that applies to 

each basic model. DOE is proposing to 

amend 10 CFR 429.46(b)(2) to add the 

type of loading (top-loading or frontloading) to the information required to 

be included in the certification report. 

c. Remaining Moisture Content 

DOE specifies product-specific 

enforcement provisions for ‘‘clothes 

washers’’, which includes both RCWs 

and CCWs. 10 CFR 429.134(c). 

Specifically, 10 CFR 429.134(c)(1) 

specifies provisions for the 

determination of remaining moisture 

content (‘‘RMC’’): 16 The procedure for 

determining RMC will be performed 

once in its entirety for each unit tested. 

The measured RMC value of a tested 

unit will be considered the tested unit’s 

final RMC value if the measured RMC 

value is within two RMC percentage 

points of the certified RMC value of the 

basic model (expressed as a percentage) 

or is lower than the certified RMC value. 

10 CFR 429.134(c)(1)(i). If the measured 

RMC value of a tested unit is more than 

two RMC percentage points higher than 

the certified RMC value of the basic 

model, DOE will perform two additional 

replications of the RMC measurement 

procedure, for a total of three 

independent RMC measurements of the 

tested unit. The average of the three 

RMC measurements will be the tested 

unit’s final RMC value and will be used 

as the basis for the calculation of percycle energy consumption for removal 

of moisture from the test load for that 

unit. 10 CFR 429.134(c)(1)(ii). 

The application of this productspecific enforcement provision for 

clothes washers requires a certified 

value of ‘‘corrected’’ RMC 17 for each 

basic model. Therefore, DOE is 

proposing to amend 10 CFR 429.46(b)(2) 

to add the corrected RMC value 

(expressed as a percentage) to the 

information required to be included in 

the certification report. 

DOE also proposes accompanying 

sampling provisions for determining the 

reported values for corrected RMC. 

Specifically, DOE proposes to add new 

section 10 CFR 429.46(a)(4), which 

would specify that the reported value of 

corrected RMC of a basic model shall be 

the mean of the final RMC value 

measured for all tested units of the basic 

model. This new section would parallel 

the existing requirements for RCWs in 

10 CFR 429.20(a)(4). 

d. Rounding Instructions 

DOE proposes to specify at new 

section 10 CFR 429.46(c) that clothes 

container capacity must be rounded to 

the nearest 0.1 cubic feet (‘‘cu ft’’), and 

that corrected RMC must be rounded to 

the nearest 0.1 percentage point. These 

rounding instructions would be 

consistent with the existing rounding 

instructions for RCWs specified at 10 

CFR 429.20(c). 


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18The draft document does not include battery 

chargers or DPPPs, as DOE is not proposing any 

amendments to the reporting requirements for those 

products, as discussed in sections III.H and III.I of 

this document. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to add 

three additional reported values for 

CCWs (i.e., the clothes container 

capacity, the type of loading, and the 

corrected RMC value). Currently, 

manufacturers report two values, as 

described in the previous section. 

DOE has tentatively determined that 

the proposed amendment would not 

impose additional costs for 

manufacturers because manufacturers of 

CCWs are already submitting 

certification reports to DOE and should 

have readily available the information 

that DOE is proposing to collect as part 

of this rulemaking. In particular, the 

clothes container capacity and corrected 

RMC values are already measured as 

part of the test procedure and are 

required for calculating the MEFJ2

metric. DOE does not believe the revised 

reporting requirements would cause any 

measurable change in reporting burden 

or hours as compared to what CCW 

manufacturers are currently doing 

today. 

DOE seeks comment on its proposal to 

change the reporting requirements, 

specify rounding instructions, and 

specify sampling provisions for certain 

reported values for CCWs, including any 

corresponding certification and 

reporting costs. 

H. Battery Chargers 

1. Scope of Applicability 

This NOPR applies to battery 

chargers, which means a device that 

charges batteries for consumer products, 

including battery chargers embedded in 

other consumer products. 10 CFR 430.2. 

2. Reporting 

Under the existing requirements in 10 

CFR 429.39(b), a certification report 

must include the following public 

product-specific information for all 

battery chargers other than 

uninterruptable power supplies: 

Nameplate battery voltage of the test 

battery in volts (V), nameplate battery 

charge capacity of the test battery in 

ampere-hours (Ah), nameplate battery 

energy capacity of the test battery in 

watt-hours (Wh), maintenance mode 

power (Pm), standby mode power (Psb), 

off mode power (Poff), battery discharge 

energy (Ebatt), 24-hour energy 

consumption (E24), duration of the 

charge and maintenance mode test (tcd), 

and unit energy consumption (UEC). 10 

CFR 429.39(b)(2). 

In addition, a certification report must 

include the following additional 

product-specific information for all 

battery chargers other than 

uninterruptible power supplies: The 

manufacturer and model of the test 

battery, and the manufacturer and 

model, when applicable, of the external 

power supply. 10 CFR 429.39(b)(3). 

Certification reports must also include 

the following product-specific 

information for all uninterruptible 

power supplies: Supported input 

dependency mode(s); active power in 

watts (W); apparent power in voltamperes (VA); rated input and output 

voltages in volts (V); efficiencies at 25 

percent, 50 percent, 75 percent and 100 

percent of the reference test load; and 

average load adjusted efficiency of the 

lowest and highest input dependency 

modes. 10 CFR 429.39(b)(4). 

DOE notes that 10 CFR 429.12(a) 

states that basic models of covered 

products require annual filings on or 

before the dates provided in 10 CFR 

429.12(d) but paragraph (d) does not 

specifically list an annual filing date for 

battery chargers. In light of this 

omission, DOE proposes to explicitly 

specify in 10 CFR 429.12(d) that battery 

chargers be recertified annually on or 

before September 1. 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes no 

changes to the reported information 

required for battery chargers. DOE only 

proposes to specify the annual date by 

which manufacturers must submit 

annual certification filings to DOE. DOE 

has tentatively determined that the 

proposed amendment would not impose 

additional costs for manufacturers 

because manufacturers of battery 

chargers are already submitting 

certification reports to DOE. DOE does 

not believe the revised reporting 

requirements would cause any 

measurable change in reporting burden 

or hours as compared to what battery 

charger manufacturers are currently 

doing today. 

DOE requests comment on the 

proposed annual filing date for battery 

chargers and any corresponding 

certification and reporting costs. 

I. Dedicated-Purpose Pool Pumps 

1. Scope of Applicability 

This NOPR applies to DPPPs, which 

comprises self-priming pool filter 

pumps, non-self-priming pool filter 

pumps, waterfall pumps, pressure 

cleaner booster pumps, integral sandfilter pool pumps, integral-cartridge 

filter pool pumps, storable electric spa 

pumps, and rigid electric spa pumps. 10 

CFR 431.462. In the August 2017 Final 

Rule, DOE adopted certification and 

reporting requirements for DPPPs. 82 FR 

36858, 36908. 

2. Reporting 

Under the existing requirements in 10 

CFR 429.59(b)(2)(iv) and (b)(3)(iv), there 

are requirements for certification reports 

for DPPPs subject to the test methods 

prescribed in § 431.464(b). However, in 

10 CFR 429.12, certification is only 

required for covered equipment subject 

to an applicable energy conservation 

standard, and certain DPPPs that are 

subject to the test method, specifically 

waterfall pumps and polyphase selfpriming pool filter pumps, are not 

subject to an energy conservation 

standard. Therefore, in this NOPR, DOE 

proposes to clarify the reporting 

requirements by removing the language 

in 10 CFR 429.59(b)(2)(iv) and (b)(3)(iv) 

that references the test method (as well 

as a reference to waterfall pumps). In 

addition, DOE would amend the same 

provisions to specify that they do not 

apply to integral cartridge-filter and 

sand filter pool pumps. Rather, because 

those pumps are subject to design 

requirements, they have separate 

reporting requirements in 10 CFR 

429.59(b)(2)(v). 

3. Reporting Costs and Impacts 

In this NOPR, DOE proposes to clarify 

the existing certification requirements 

for DPPPs. Therefore, DOE has 

tentatively determined that the 

proposed amendment would not impose 

additional costs or burden for 

manufacturers. 

DOE requests comment on its 

proposal to clarify the certification 

requirement for certain models of 

DPPPs. 

J. Draft Certification Templates for 

Review 

To help interested parties better 

understand and review the proposed 

amendments discussed in the earlier 

sections of this NOPR, DOE has 

developed a draft document that 

includes example tables showing the 

certification report template inputs as 

would be required in accordance with 

the proposals in this NOPR, if 

finalized.18 (The draft reporting 

template requirements will be made 

available in docket number EERE–2012– 

BT–STD–0045, available at https://

www.regulations.gov, upon publication 

of this NOPR.) The draft tables also 

include the data entry requirements for 

each field in the certification report 

input table. 

The draft certification table headers 

are not reflective of the final 


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43136 Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Proposed Rules 

19U.S. Department of Energy Compliance 

Certification Management System (Available at: 

https://www.regulations.doe.gov/ccms). 

20The estimates of 35 hours per response and 

$100 per hour fully burdened labor rate are based 

on the collection of information estimates for 

consumer products and commercial/industrial 

equipment subject to energy or water conservation 

standards. See 82 FR 57240 (Dec. 4, 2017). 

21U.S. Department of Energy Compliance 

Certification Management System (Available at: 

https://www.regulations.doe.gov/ccms). 

22AHRI Directory of Certified Product 

Performance (Available at: https://

www.ahridirectory.org/Search/SearchHome). 

certification regulations that may be 

adopted by a subsequent final rule, nor 

do they represent the entirety of the 

information required in a certification 

report. Upon completion of this 

rulemaking, DOE will revise the 

reporting templates to reflect the final 

certification regulations once DOE has 

received approval from the Office of 

Management and Budget (OMB) to 

collect the revised information. The 

specific templates that should be used 

for certifying compliance of covered 

products and equipment to DOE are 

available for download at https://

www.regulations.doe.gov/ccms/ 

templates. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Orders 

12866 and 13563 

OMB has determined that this 

rulemaking does not constitute a 

‘‘significant regulatory action’’ under 

section 3(f) of Executive Order 12866, 

‘‘Regulatory Planning and Review,’’ 58 

FR 51735 (Oct. 4, 1993). Accordingly, 

this action was not subject to review 

under the Executive order by the Office 

of Information and Regulatory Affairs 

(‘‘OIRA’’) at OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (‘‘IRFA’’) for any rule that by 

law must be proposed for public 

comment, unless the agency certifies 

that the rule, if promulgated, will not 

have a significant economic impact on 

a substantial number of small entities. 

As required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s website: (https://energy.gov/ 

gc/office-general-counsel). 

DOE has tentatively concluded that 

the removal of outdated reporting 

requirements and the addition of new 

reporting requirements as proposed in 

this NOPR would not impose additional 

costs for manufacturers of CFLKs, 

GSILs, and IRLs, ceiling fans, consumer 

furnaces and boilers (except electric 

steam boilers), dishwashers, CCWs, 

battery chargers, and DPPPs for the 

reasons discussed in section III of this 

document. For these products and 

equipment, DOE has tentatively 

determined that the proposed 

amendments would not impose 

additional costs for manufacturers 

because manufacturers are already 

submitting certification reports to DOE 

and should have readily available the 

information that DOE is proposing to 

collect as part of this rulemaking, and 

for DPPPs, the proposed amendments 

clarify the existing reporting 

requirements. Consequently, for these 

types of covered products and 

equipment, the changes proposed in this 

NOPR would not be expected to have a 

significant economic impact on related 

entities regardless of size. 

However, for electric steam boilers, no 

certification is currently required. This 

proposal would amend 10 CFR 429.18 

to include a requirement to certify the 

standby mode and off mode energy 

consumption for electric steam boilers. 

This amendment aligns the certification 

requirements with the existing energy 

conservation standard requirements. 10 

CFR 430.32(e)(1)(iii) and (e)(2)(iii)(B). 

For electric steam boiler manufacturers 

that are not already certifying, there 

could be additional paperwork costs. 

Likewise, for grid-enabled water heaters, 

this proposal would add reporting 

requirements to align with the 

requirements of EPCA. EPCA, as 

amended, requires manufacturers to 

report the quantity of grid-enabled water 

heaters that the manufacturer ships each 

year and requires DOE to keep the 

shipment data reported by 

manufacturers as confidential business 

information. (42 U.S.C. 6295(e)(6)(C)(i)– 

(iii)) Therefore, grid-enabled water 

heater manufacturers would incur 

additional paperwork costs. 

The Small Business Administration 

(‘‘SBA’’) considers a business entity to 

be a small business, if, together with its 

affiliates, it employs less than a 

threshold number of workers specified 

in 13 CFR part 121. The size standards 

and codes are established by the 2017 

North American Industry Classification 

System (‘‘NAICS’’). 

Electric steam boiler manufacturers 

are classified under NAICS code 

333414, ‘‘Heating Equipment (except 

Warm Air Furnaces) Manufacturing.’’ 

The SBA sets a threshold of 500 

employees or fewer for an entity to be 

considered as a small business in this 

category. DOE used available public 

information to identify potential small 

manufacturers. DOE accessed the 

Compliance Certification Database 19

and reviewed manufacturer literature to 

create a list of companies that import or 

otherwise manufacture the electric 

steam boilers covered by this proposal. 

Using these sources, DOE identified four 

manufacturers of electric steam boilers. 

All four manufacturers are small 

businesses. DOE estimates that the 

increased certification burden would 

result in 35 hours per manufacturer to 

develop the required certification 

reports. Therefore, based on a fully 

burdened labor rate of $100 per hour, 

the estimated total annual cost to 

manufacturers would be $3,500 per 

manufacturer.20 Using available public 

information, DOE estimated the annual 

revenue for all four small businesses 

that manufacture electric steam boilers. 

The small business with the least 

annual revenue has an annual revenue 

of approximately $5.4 million. 

Therefore, this additional certification 

cost of $3,500 per manufacturer 

represents significantly less than 1 

percent of each identified 

manufacturer’s annual revenue. 

Grid-enabled water heater 

manufacturers are classified under 

NAICS code 335220, ‘‘Major Household 

Appliance Manufacturing.’’ The SBA 

sets a threshold of 1,500 employees or 

fewer for an entity to be considered as 

a small business in this category. DOE 

used available public information to 

identify potential small manufacturers. 

DOE accessed the Compliance 

Certification Database 21 and the 

certified product directory of the Air 

Conditioning, Heating and Refrigeration 

Institute 22 (‘‘AHRI’’), and the 

Department also reviewed manufacturer 

literature. These actions allowed DOE to 

create a list of companies that import or 

otherwise manufacture the grid-enabled 

water heaters. Using these sources, DOE 

identified five manufacturers of gridenabled water heaters. The five 

manufacturers exceed the SBA 

threshold to be considered a small 

business. Thus, DOE did not identify 

any small business manufacturers of 

grid-enabled water heaters. 

DOE reviewed this proposed rule 

under the provisions of the Regulatory 

Flexibility Act and the policies and 

procedures published on February 19, 

2003. On the basis of the foregoing, DOE 


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initially concludes that the impacts of 

the amendments to DOE’s certification 

regulations proposed in this NOPR 

would not have a ‘‘significant economic 

impact on a substantial number of small 

entities.’’ Accordingly, DOE has not 

prepared an IRFA for this NOPR. DOE 

will transmit this certification of no 

significant impact on a substantial 

number of small entities and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the Small 

Business Administration for review 

under 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of CFLKs, GSILs, IRLs, 

ceiling fans, consumer furnaces and 

boilers (except for electric steam 

boilers), consumer water heaters, 

dishwashers, CCWs, battery chargers, 

and DPPPs must certify to DOE that 

their products or equipment comply 

with any applicable energy conservation 

standards. To certify compliance, 

manufacturers must first obtain test data 

for their products or equipment 

according to the DOE test procedures, 

including any amendments adopted for 

those test procedures. DOE’s current 

reporting requirements are approved 

under OMB Control Number 1910–1400. 

1. Description of the Requirements 

DOE is proposing to amend the 

reporting requirements for CFLKs, 

GSILs, IRLs, ceiling fans, consumer 

furnaces and boilers, consumer water 

heaters, dishwashers, CCWs, battery 

chargers, and DPPPs. DOE will send a 

revised information collection approval 

to OMB under the existing Control 

Number 1910–1400. The revisions will 

just reflect the changes proposed in this 

rulemaking as an amendment to the 

existing information collection. 

2. Method of Collection 

DOE is proposing that respondents 

must submit electronic forms using 

DOE’s online Compliance Certification 

Management System (‘‘CCMS’’). DOE’s 

CCMS is publicly accessible at https:// 

www.regulations.doe.gov/ccms/, and 

includes instructions for users, 

registration forms, and the productspecific reporting templates required for 

use when submitting information to 

CCMS. 

3. Data 

The following are DOE estimates of 

the total annual reporting and 

recordkeeping burden imposed on 

manufacturers of CFLKs, GSILs, IRLs, 

ceiling fans, consumer furnaces and 

boilers, consumer water heaters, 

dishwashers, CCWs, battery chargers, 

and DPPPs subject to the amended 

certification reporting requirements 

proposed in this proposed rule. These 

estimates take into account the time 

necessary to develop any additional 

testing documentation, maintain any 

additional documentation supporting 

the development of the certified rating 

for each basic model, complete any 

additional certification, and submit any 

additional required documents to DOE 

electronically. 

DOE has tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers of CFLKs, GSILs, IRLs, 

ceiling fans, dishwashers, CCWs, battery 

chargers, most consumer furnaces and 

boilers, and most consumer water 

heaters, because manufacturers of these 

products or equipment are already 

submitting certification reports to DOE 

and should have readily available the 

information that DOE is proposing to 

collect as part of this rulemaking. DOE 

has also tentatively determined that 

these proposed amendments would not 

impose additional costs for 

manufacturers of DPPPs because the 

proposals only clarify the existing 

certification requirements. 

DOE’s proposed amendments for the 

reporting requirements for electric 

steam boilers would require new 

certification reporting for electric steam 

boilers manufacturers and importers. 

DOE estimates there are four 

manufacturers of electric steam boilers 

that would have to submit annual 

certification reports to DOE for those 

products based on the proposed 

reporting requirements. The following 

section estimates the burden for these 

four electric steam boiler manufacturers. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.7. 

Type of Review: Regular submission. 

Affected Public: Domestic 

manufacturers and importers of electric 

steam boilers covered by this 

rulemaking. 

Estimated Number of Respondents: 4. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 140. 

Estimated Total Annual Cost to the 

Manufacturers: $14,000 in 

recordkeeping/reporting costs. 

For grid-enabled consumer water 

heaters, DOE is proposing to add 

reporting requirements to 10 CFR 429.17 

that would require manufacturers and 

importers to report the total number of 

grid-enabled water heaters shipped each 

year in accordance with the requirement 

in EPCA. The following are DOE 

estimates of the total annual reporting 

and recordkeeping burden imposed on 

manufacturers of grid-enabled consumer 

water heaters subject to the proposed 

reporting provisions in this NOPR. 

These estimates take into account the 

time necessary to develop testing 

documentation, maintain all the 

documentation supporting the 

development of the certified rating for 

each basic model, complete the 

certification, and submit all required 

documents to DOE electronically. 

OMB Control Number: 1910–1400. 

Form Number: DOE F 220.92. 

Type of Review: Regular submission. 

Affected Public: Manufacturers and 

importers of grid-enabled consumer 

water heaters covered by this 

rulemaking. 

Estimated Number of Respondents: 5. 

Estimated Time per Response: 

Certification reports, 35 hours. 

Estimated Total Annual Burden 

Hours: 175. 

Estimated Total Annual Cost to the 

Manufacturers: $17,500 in 

recordkeeping/reporting costs. 

4. Conclusion 

DOE has tentatively concluded that 

the removal of outdated reporting 

requirements and the addition of 

reporting requirements as proposed in 

this NOPR would not impose additional 

costs for CFLK, GSIL, IRL, CF, 

dishwasher, CCW, battery charger, 

DPPP, most consumer water heater, and 

most consumer furnace and boiler 

manufacturers (see sections III.A.3, 

III.B.3, III.C.3, III.D.3, III.E, III.F.3,III.G.3, 

and III.H.3 of this document for a more 

complete discussion). Furthermore, 

DOE has tentatively concluded that 

there are four electric steam boiler 

manufacturers and five consumer water 

heater manufacturers that would have to 

submit new annual certification reports 

to DOE for those products. For all other 

manufacturers of covered products or 

equipment described in this NOPR, the 

public reporting burden for certification 

remains unchanged. 

Public comment is sought regarding: 

(1) Whether this proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

(2) the accuracy of the burden estimate; 

(3) ways to enhance the quality, utility, 

and clarity of the information to be 

collected; and (4) ways to minimize the 

burden of the collection of information, 

including through the use of automated 

collection techniques or other forms of 

information technology. Send comments 

on these or any other aspects of the 

collection of information to the email 

address listed in the ADDRESSES section 


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and to the OMB Desk Officer by email 

to Sofie.E.Miller@omb.eop.gov. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the Paperwork 

Reduction Act of 1995 (PRA), unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

DOE is analyzing this proposed 

regulation in accordance with the 

National Environmental Policy Act of 

1969 (‘‘NEPA’’) and DOE’s NEPA 

implementing regulations (10 CFR part 

1021). DOE’s regulations include a 

categorical exclusion for rulemakings 

interpreting or amending an existing 

rule or regulation that does not change 

the environmental effect of the rule or 

regulation being amended. 10 CFR part 

1021, subpart D, appendix A5. DOE 

anticipates that this rulemaking 

qualifies for categorical exclusion A5 

because it is a rulemaking that does not 

change the environmental effect of the 

current rule and otherwise meets the 

requirements for application of a 

categorical exclusion. See 10 CFR 

1021.410. DOE will complete its NEPA 

review before issuing the final rule. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 10, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive order also requires agencies to 

have an accountable process to ensure 

meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 

describing the intergovernmental 

consultation process it will follow in the 

development of such regulations. 65 FR 

13735. DOE has examined this proposed 

rule and has tentatively determined that 

it would not have a substantial direct 

effect on the States, on the relationship 

between the National Government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government. EPCA 

governs and prescribes Federal 

preemption of State regulations as to 

energy conservation for the products 

and equipment that are the subject of 

this proposed rule. States can petition 

DOE for exemption from such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297; 42 U.S.C. 6316(a) and (b)(2)(D)) 

Therefore, no further action is required 

by Executive Order 13132. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard, and (4) promote simplification 

and burden reduction. Regarding the 

review required by section 3(a), section 

3(b) of Executive Order 12988 

specifically requires that executive 

agencies make every reasonable effort to 

ensure that the regulation: (1) Clearly 

specifies the preemptive effect, if any; 

(2) clearly specifies any effect on 

existing Federal law or regulation; (3) 

provides a clear legal standard for 

affected conduct while promoting 

simplification and burden reduction; (4) 

specifies the retroactive effect, if any; (5) 

adequately defines key terms, and (6) 

addresses other important issues 

affecting clarity and general 

draftsmanship under any guidelines 

issued by the Attorney General. Section 

3(c) of Executive Order 12988 requires 

executive agencies to review regulations 

in light of applicable standards in 

sections 3(a) and 3(b) to determine 

whether they are met, or whether it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, this proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (‘‘UMRA’’) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect them. On March 18, 1997, DOE 

published a statement of policy on its 

process for intergovernmental 

consultation under UMRA. 62 FR 12820 

(also available at https://energy.gov/gc/

office-general-counsel). DOE examined 

this proposed rule according to UMRA 

and its statement of policy and 

determined that the proposed rule 

contains neither a Federal 

intergovernmental mandate, nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector. As a result, the analytical 

requirements of UMRA do not apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

proposed rule would not have any 

impact on the autonomy or integrity of 

the family as an institution. 

Accordingly, DOE has concluded that it 

is not necessary to prepare a Family 

Policymaking Assessment. 

I. Review Under Executive Order 12630 

Pursuant to Executive Order 12630, 

‘‘Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (March 18, 1988), 

DOE has determined that this proposed 

rule would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under information quality 


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guidelines established by each agency 

pursuant to general guidelines issued by 

OMB. OMB’s guidelines were published 

at 67 FR 8452 (Feb. 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (Oct. 7, 2002). Pursuant to 

OMB Memorandum M–19–15, 

Improving Implementation of the 

Information Quality Act (April 24, 

2019), DOE published updated 

guidelines which are available at: 

https://www.energy.gov/sites/prod/files/

2019/12/f70/DOE%20Final

%20Updated%20IQA%20Guidelines

%20Dec%202019.pdf. DOE has 

reviewed this proposed rule under the 

OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OIRA at OMB, a 

Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgates or is expected to lead to 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

This proposed regulatory action to 

amend the certification provisions for 

CFLKs, GSILs, IRLs, ceiling fans, 

consumer furnaces and boilers, 

consumer water heaters, dishwashers, 

CCWs, battery chargers, and DPPPs is 

not a significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91; 42 U.S.C. 7101), DOE must comply 

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977. (15 U.S.C. 

788; ‘‘FEAA’’) Section 32 essentially 

provides in relevant part that, where a 

proposed rule authorizes or requires use 

of commercial standards, the notice of 

proposed rulemaking must inform the 

public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the Federal Trade Commission (‘‘FTC’’) 

concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed modifications to the 

certification reporting requirements for 

CFLKs, GSILs, IRLs, ceiling fans, 

consumer furnaces and boilers, 

consumer water heaters, dishwashers, 

CCWs, battery chargers, and DPPPs do 

not incorporate testing methods 

contained in any commercial standards. 

M. Materials Incorporated by Reference 

The Director of the Federal Register 

previously approved the following 

standards from the Association of Home 

Appliance Manufacturers (‘‘AHAM’’) 

and the American National Standards 

Institute (ANSI) for incorporation by 

reference into §§ 429.19 and 429.59: 

ANSI/AHAM DW–1–2010, ‘‘Household 

Electric Dishwashers’’, and NSF 

International (NSF)/ANSI 50–2015, 

‘‘Equipment For Swimming Pools, Spas, 

Hot Tubs and Other Recreational Water 

Facilities,’’ Annex C—‘‘Test methods for 

the evaluation of centrifugal pumps,’’ 

Section C.3, ‘‘self-priming capability.’’ 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments, data, and other 

information using any of the methods 

described in the ADDRESSES section at 

the beginning of this document. 

Submitting comments via https://

www.regulations.gov. The https://

www.regulations.gov web page will 

require you to provide your name and 

contact information. Your contact 

information will be viewable to DOE 

Building Technologies staff only. Your 

contact information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment itself or in any 

documents attached to your comment. 

Any information that you do not want 

to be publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. If 

these directions are followed, persons 

viewing comments will see only first 

and last names, organization names, 

correspondence containing comments, 

and any documents submitted with the 

comments. 

Do not submit to https://

www.regulations.gov information for 

which disclosure is restricted by statute, 

such as trade secrets and commercial or 

financial information (hereinafter 

referred to as Confidential Business 

Information (‘‘CBI’’)). Comments 

submitted through https://

www.regulations.gov cannot be claimed 

as CBI. Comments received through the 

website will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through https://www.regulations.gov 

before posting. Normally, comments 

will be posted within a few days of 

being submitted. However, if large 

volumes of comments are being 

processed simultaneously, your 

comment may not be viewable for up to 

several weeks. Please keep the comment 

tracking number that https://

www.regulations.gov provides after you 

have successfully uploaded your 

comment. 

Submitting comments via email. 

Comments and documents submitted 

via email also will be posted to https:// 

www.regulations.gov. If you do not want 

your personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information in a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. With this 

instruction followed, the cover letter 

will not be publicly viewable as long as 

it does not include any comments. 


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Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. No 

telefacsimiles (faxes) will be accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, written in English, and free of 

any defects or viruses. Documents 

should not contain special characters or 

any form of encryption, and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

Pursuant to 10 CFR 1004.11, any person 

submitting information that he or she 

believes to be confidential and exempt 

by law from public disclosure should 

submit via email two well-marked 

copies: One copy of the document 

marked ‘‘confidential’’ including all the 

information believed to be confidential, 

and one copy of the document marked 

‘‘non-confidential’’ with the information 

believed to be confidential deleted. DOE 

will make its own determination about 

the confidential status of the 

information and treat it according to its 

determination. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

(1) DOE seeks comment on whether 

CFLKs are still being distributed in 

commerce and manufactured prior to 

January 21, 2020, and, therefore, DOE 

should retain compliance requirements 

for these standards. 

(2) DOE seeks comments on requiring 

the reporting of lumen output and 

efficacy to certify compliance to January 

21, 2020 standards. 

(3) DOE seeks comment on reporting 

lumen maintenance at 1,000 hours and 

at 40 percent of lifetime, lifetime, and 

the rapid cycle stress test results for 

medium screw base CFLs in CFLKs. 

DOE seeks comment on allowing 

estimates for lumen maintenance at 40 

percent of lifetime, lifetime, and the 

rapid cycle stress test result. 

(4) DOE seeks comment on requiring 

a declaration that pin-based fluorescent 

lamps in CFLKs have an electronic 

ballast. DOE also seeks comment on 

requiring a declaration that CFLKs are 

packaged with lamps sufficient to fill all 

sockets. 

(5) DOE seeks comment on the other 

proposed amendments to the CFLK 

reporting requirements. 

(6) DOE requests comment on the 

certification reporting costs of the 

amendments proposed for CFLKs. 

(7) DOE seeks comments on requiring 

the reporting of CRI to certify 

compliance with existing energy 

conservation standard requirements for 

IRLs. DOE also seeks comment on 

requiring the reporting of lamp diameter 

and rated voltage to help determine the 

applicable energy conservation standard 

for IRLs. 

(8) DOE seeks comment on requiring 

the reporting of initial lumen output to 

help determine the applicable energy 

conservation standard for GSILs. 

(9) DOE requests comment on the 

certification and reporting costs of the 

amendments proposed for IRLs and 

GSILs and whether it will result in an 

increase in reporting burden. 

(10) DOE seeks comment on the 

proposed updated reporting 

requirements for small-diameter ceiling 

fans and LDCFs. 

(11) DOE seeks comment on the 

certification and reporting costs of the 

amendments proposed for ceiling fans. 

(12) DOE seeks comment on its 

proposed changes to the reporting 

requirements for consumer furnaces and 

boilers, including any cost impacts. 

(13) DOE seeks comment on its 

proposal to add new reporting 

requirements for the number of 

shipments of grid-enabled consumer 

water heaters, and on its proposal that 

this information be reported separately 

from the information that is currently 

required to be reported under 10 CFR 

429.17(b). 

(14) DOE requests comment on the 

proposed reporting requirement for 

dishwashers, including any 

corresponding certification and 

reporting costs. 

(15) DOE seeks comment on its 

proposal to change the reporting 

requirements, specify rounding 

instructions, and specify sampling 

provisions for certain reported values 

for CCWs, including any corresponding 

certification and reporting costs. 

(16) DOE requests comment on the 

proposed annual filing date for battery 

chargers and any corresponding 

certification and reporting costs. 

(17) DOE requests comment on its 

proposal to clarify the certification 

requirement for certain models of 

DPPPs. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects in 10 CFR Part 429 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Incorporation by reference, 

Intergovernmental relations, Reporting 

and recordkeeping requirements, Small 

businesses. 

Signing Authority 

This document of the Department of 

Energy was signed on July 17, 2021, by 

Kelly Speakes-Backman, Principal 

Deputy Assistant Secretary and Acting 

Assistant Secretary for Energy Efficiency 

and Renewable Energy, pursuant to 

delegated authority from the Secretary 

of Energy. That document with the 

original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on July 19, 

2021. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons stated in the 

preamble, DOE proposes to amend part 

429 of title 10 of the Code of Federal 

Regulations as set forth below: 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 

2461 note. 

■ 2. Section 429.12 is amended by 

revising paragraph (d) to read as 

follows: 


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§ 429.12 General requirements applicable 

to certification reports. 

* * * * * 

(d) Annual filing. All data required by 

paragraphs (a) through (c) of this section 

shall be submitted to DOE annually, on 

or before the following dates: 

TABLE 1 TO PARAGRAPH (d) 

Product category 

Deadline for 

data 

submission 

(1) Portable air conditioners ............................................................................................................................................................. February 1. 

(2) Fluorescent lamp ballasts; Compact fluorescent lamps; General service fluorescent lamps, general service incandescent 

lamps, and incandescent reflector lamps; Candelabra base incandescent lamps and intermediate base incandescent lamps; 

Ceiling fans; Ceiling fan light kits; Showerheads; Faucets; Water closets; and Urinals.

March 1. 

(3) Water heaters; Consumer furnaces; Pool heaters; Commercial water heating equipment; Commercial packaged boilers; 

Commercial warm air furnaces; Commercial unit heaters; and Furnace fans.

May 1. 

(4) Dishwashers; Commercial pre-rinse spray valves; Illuminated exit signs; Traffic signal modules and pedestrian modules; 

and Distribution transformers.

June 1. 

(5) Room air conditioners; Central air conditioners and central air conditioning heat pumps; and Commercial heating, ventilating, air conditioning (HVAC) equipment.July 1. 

(6) Consumer refrigerators, refrigerator-freezers, and freezers; Commercial refrigerators, freezers, and refrigerator-freezers;

Automatic commercial ice makers; Refrigerated bottled or canned beverage vending machines; Walk-in coolers and walk-in 

freezers; and Consumer miscellaneous refrigeration products.

August 1. 

(7) Torchieres; Dehumidifiers; Metal halide lamp ballasts and fixtures; External power supplies; Pumps; and Battery chargers September 1. 

(8) Residential clothes washers; Residential clothes dryers; Direct heating equipment; Cooking products; and Commercial 

clothes washers.

October 1. 

* * * * * 

■ 3. Section 429.17 is amended by 

adding paragraph (c) to read as follows: 

§ 429.17 Water heaters. 

* * * * * 

(c) Reporting of annual shipments for 

grid-enabled water heaters. Pursuant to 

42 U.S.C. 6295(e)(6)(C)(i), manufacturers 

of grid-enabled water heaters must 

report the total number of grid-enabled 

water heater units shipped for sale in 

the U.S. by the manufacturer for the 

previous calendar year (i.e., January 1st 

through December 31st), as well as the 

calendar year that the shipments cover, 

starting on or before May 1, 2022 and 

annually on or before May 1 each year 

thereafter. This information shall be 

reported separately from the 

certification report required under 

paragraph (b)(2) of this section and must 

be submitted to DOE in accordance with 

the submission procedures set forth in 

§ 429.12(h). DOE will consider the 

annual reported shipments to be 

confidential business information 

without the need for the manufacturer 

to request confidential treatment of the 

information pursuant to § 429.7(c). 

■ 4. Section 429.18 is amended by 

revising the section heading and 

paragraphs (a)(2)(vii) and (b)(2) and (3) 

to read as follows: 

§ 429.18 Consumer furnaces. 

(a) * * * 

(2) * * * 

(vii) The represented value of annual 

fuel utilization efficiency must be 

rounded to the nearest one-tenth of a 

percentage point. The represented 

values of standby mode power and off 

mode power must be rounded to the 

nearest one-tenth of a watt. 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: 

(i) Consumer furnaces and boilers: 

The annual fuel utilization efficiency 

(AFUE) in percent (%) and the input 

capacity in British thermal units per 

hour (Btu/h). 

(ii) For gas-fired hot water and gasfired steam boilers: The type of ignition 

system. 

(iii) For non-weatherized oil-fired 

furnaces (including mobile home 

furnaces), electric furnaces, and boilers: 

The standby mode power consumption 

(PW,SB) and off mode power 

consumption (PW,OFF) in watts. 

(3) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following additional product-specific 

information: 

(i) For cast-iron sectional boilers: A 

declaration of whether certification is 

based on linear interpolation or testing. 

(ii) For hot water boilers and gas-fired 

steam boilers: A declaration that the 

manufacturer has incorporated the 

applicable design requirements. 

* * * * * 

■ 5. Section 429.19 is amended by 

revising paragraph (b)(3) to read as 

follows: 

§ 429.19 Dishwashers. 

* * * * * 

(b) * * * 

(3) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following additional product-specific 

information— 

(i) The capacity in number of place 

settings as specified in ANSI/AHAM 

DW–1–2010 (incorporated by reference, 

see § 429.4); 

(ii) Presence of a soil sensor (if yes, 

the number of cycles required to reach 

calibration); 

(iii) The water inlet temperature used 

for testing in degrees Fahrenheit (°F); 

(iv) The cycle selected for energy 

testing and whether that cycle is soilsensing; 

(v) The options selected for the energy 

test; 

(vi) Presence of a built-in water 

softening system (if yes, the energy use 

in kilowatt-hours and the water use in 

gallons required for each regeneration of 

the water softening system, the number 

of regeneration cycles per year, and data 

and calculations used to derive these 

values); and 

(vii) Indication of whether Cascade®

Complete powder was used as the 

detergent formulation in lieu of 

Cascade® with the Grease Fighting 

Power of Dawn® powder. 

■ 6. Section 429.27 is amended by 

revising paragraphs (b)(2)(ii) and (iii) to 

read as follows: 

§ 429.27 General service fluorescent 

lamps, general service incandescent lamps, 

and incandescent reflector lamps. 

* * * * * 

(b) * * * 

(2) * * * 

(ii) Incandescent reflector lamps: The 

testing laboratory’s International 

Laboratory Accreditation Cooperation 

(ILAC) accreditation body’s 


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identification number or other approved 

identification assigned by the ILAC 

accreditation body, production dates of 

the units tested, the 12-month average 

lamp efficacy in lumens per watt (lm/ 

W), lamp wattage (W), rated voltage (V), 

diameter in inches, and CRI. 

(iii) General service incandescent 

lamps: The testing laboratory’s ILAC 

accreditation body’s identification 

number or other approved identification 

assigned by the ILAC accreditation 

body, production dates of the units 

tested, the 12-month average maximum 

rate wattage in watts (W), the 12-month 

average minimum rated lifetime (hours), 

and the 12-month average CRI, and 

initial lumen output in lumens (lm). 

* * * * * 

■ 7. Section 429.32 is amended by: 

■ a. Revising paragraph (b); and 

■ b. Adding paragraph (c). 

The revision and addition read as 

follows: 

§ 429.32 Ceiling fans. 

* * * * * 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to ceiling fans; and 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: 

(i) For all ceiling fans: Blade span (in), 

the number of speeds within the ceiling 

fan controls, and a declaration that the 

manufacturer has incorporated the 

applicable design requirements. 

(ii) For small-diameter ceiling fans: A 

declaration whether the ceiling fan is a 

multi-head ceiling fan, and the ceiling 

fan efficiency (cubic feet per minute per 

watt (CFM/W)). 

(iii) For large-diameter ceiling fans: 

Ceiling fan energy index (CFEI) for high 

speed and 40 percent speed or the 

nearest speed that is not less than 40 

percent speed. 

(3) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following additional product-specific 

information: 

(i) For small-diameter ceiling fans: 

Standby power, blade edge thickness 

(in), airflow (CFM) at high speed, and 

blade revolutions per minute (RPM) at 

high speed. 

(ii) For low-speed small-diameter 

ceiling fans: The distance (in) between 

the ceiling and the lowest point on the 

fan blades (in both hugger and standard 

configurations for multi-mount fans). 

(c) Rounding requirements. Any 

represented value of ceiling fan 

efficiency, as described in paragraph 

(a)(2)(i) of this section must be 

expressed in cubic feet per minute per 

watt (CFM/W) and rounded to the 

nearest whole number. Any represented 

value of ceiling fan energy index, as 

described in paragraph (a)(2)(i) of this 

section must be expressed in CFEI and 

rounded to the nearest hundredth of a 

CFEI. 

■ 8. Section 429.33 is amended by 

revising paragraphs (b) and (c) to read 

as follows: 

§ 429.33 Ceiling fan light kits. 

* * * * * 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to ceiling fan light kits (CFLKs); and 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following product-specific information: 

(i) A declaration that the CFLK is 

packaged with lamps sufficient to fill all 

of the lamp sockets; 

(ii) For each basic model of lamp and/ 

or each basic model of integrated solid 

state lighting (SSL) circuitry packaged 

with the ceiling fan light kit, the brand, 

basic model number, test sample size, 

kind of lamp (i.e., general service 

fluorescent lamp [GSFL]; fluorescent 

lamp with a pin base that is not a GSFL; 

compact fluorescent lamp [CFL] with a 

medium screw base; CFL with a base 

that is not medium screw base [e.g., 

candelabra base]; other fluorescent lamp 

[not GSFL or CFL]; general service 

incandescent lamp [GSIL]; candelabra 

base incandescent lamp; intermediate 

base incandescent lamp; incandescent 

reflector lamp; other incandescent lamp 

[not GSIL, IRL, candelabra base or 

intermediate base incandescent lamp], 

integrated LED lamp; integrated SSL 

circuitry; other SSL products [not 

integrated LED lamp]; other lamp not 

mentioned), lumen output in lumens, 

efficacy in lumens per watt (lm/W), and 

a declaration that, where applicable, the 

lamp basic model was tested by a 

laboratory accredited as required under 

§ 430.25; 

(iii) For each lamp basic model 

identified in paragraph (b)(2)(ii) of this 

section that is a compact fluorescent 

lamp with a medium screw base, the 

lumen maintenance at 40 percent of 

lifetime in percent (%) (and whether 

value is estimated), the lumen 

maintenance at 1,000 hours in percent 

(%), the lifetime in hours (h) (and 

whether value is estimated), and the 

sample size for rapid cycle stress testing 

and results in number of units passed 

(and whether the value is estimated). 

Estimates of lifetime, lumen 

maintenance at 40 percent of lifetime, 

and rapid cycle stress test surviving 

units may be reported until testing is 

complete. Manufacturers are required to 

maintain records in accordance with 

§ 429.71 of the development of all 

estimated values and any associated 

initial test data; and 

(iv) For ceiling fan light kits with pinbased sockets for fluorescent lamps, a 

declaration that each ballast for such 

lamps is an electronic ballast. 

(c) Rounding requirements. (1) Any 

represented value of efficacy of CFLKs 

as described in paragraph (a) of this 

section must be expressed in lumens per 

watt and rounded to the nearest tenth of 

a lumen per watt. 

(2) Round lumen output to three 

significant digits. 

(3) Round lumen maintenance at 

1,000 hours to the nearest tenth of a 

percent. 

(4) Round lumen maintenance at 40 

percent of lifetime to the nearest tenth 

of a percent. 

(5) Round lifetime to the nearest 

whole hour. 

■ 9. Section 429.46 is amended by: 

■ a. Revising paragraph (a)(2)(i) 

introductory text; 

■ b. Adding paragraphs (a)(3) and (4); 

■ c. Revising paragraph (b)(2); and 

■ d. Adding paragraph (c). 

The revisions and additions read as 

follows: 

§ 429.46 Commercial clothes washers. 

(a) * * * 

(2) * * * 

(i) Any represented value of the 

integrated water factor or other measure 

of energy or water consumption of a 

basic model for which consumers would 

favor lower values shall be greater than 

or equal to the higher of: 

* * * * * 

(3) The clothes container capacity of 

a basic model reported in accordance 

with paragraph (b)(2) of this section 

shall be the mean of the measured 

clothes container capacity, C, of all 

tested units of the basic model. 

(4) The corrected remaining moisture 

content (RMC) of a basic model reported 

in accordance with paragraph (b)(2) of 

this section shall be the mean of the 

final RMC value measured for all tested 

units of the basic model. 

(b) * * * 

(2) Pursuant to § 429.12(b)(13), a 

certification report shall include the 

following public product-specific 

information: 

(i) The modified energy factor 

(MEFJ2), in cubic feet per kilowatt-hour 

per cycle (cu ft/kWh/cycle); 

(ii) The integrated water factor (IWF), 

in gallons per cycle per cubic feet (gal/ 

cycle/cu ft); 

(iii) The clothes container capacity, in 

cubic feet (cu ft); 

(iv) The type of loading (top-loading 

or front-loading); and 

(v) The corrected RMC (expressed as 

a percentage). 


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1 86 FR 31376 (June 11, 2021). 

(c) Reported values. Values reported 

pursuant to this section must be 

rounded as follows: Clothes container 

capacity to the nearest 0.1 cu ft, and 

corrected RMC to the nearest 0.1 

percentage point. 

■ 10. Section 429.59 is amended by 

revising paragraphs (b)(2)(iv) and 

(b)(3)(iv) to read as follows: 

§ 429.59 Pumps. 

* * * * * 

(b) * * * 

(2) * * * 

(iv) For a dedicated-purpose pool 

pump (other than an integral cartridgefilter or sand-filter pool pump): 

Weighted energy factor (WEF) in 

kilogallons per kilowatt-hour (kgal/ 

kWh); rated hydraulic horsepower in 

horsepower (hp); the speed 

configuration for which the pump is 

being rated (i.e., single-speed, twospeed, multi-speed, or variable-speed); 

true power factor at all applicable test 

procedure load points i (dimensionless), 

as specified in Table 1 of appendix B or 

C to subpart Y of part 431 of this 

chapter, as applicable; dedicatedpurpose pool pump nominal motor 

horsepower in horsepower (hp); 

dedicated-purpose pool pump motor 

total horsepower in horsepower (hp); 

dedicated-purpose pool pump service 

factor (dimensionless); for self-priming 

pool filter pumps and non-self-priming 

pool filter pumps: The maximum head 

(in feet) which is based on the mean of 

the units in the tested sample; a 

statement regarding whether freeze 

protection is shipped enabled or 

disabled; for dedicated-purpose pool 

pumps distributed in commerce with 

freeze protection controls enabled: The 

default dry-bulb air temperature setting 

(in °F), default run time setting (in 

minutes), and default motor speed (in 

rpm); for self-priming pool filter pumps 

a statement regarding whether the pump 

is certified with NSF/ANSI 50–2015 

(incorporated by reference, see § 429.4) 

as self-priming; and, for self-priming 

pool filter pumps that are not certified 

with NSF/ANSI 50–2015 as selfpriming: The vertical lift (in feet) and 

true priming time (in minutes) for the 

dedicated-purpose pool pump (DPPP) 

model. 

* * * * * 

(3) * * * 

(iv) For a dedicated-purpose pool 

pump (other than an integral cartridgefilter or sand-filter pool pump): 

Calculated driver power input and flow 

rate at each load point i (Pi and Qi), in 

horsepower (hp) and gallons per minute 

(gpm), respectively. 

* * * * * 

■ 11. Section 429.70 is amended by 

adding paragraph (i) to read as follows: 

§ 429.70 Alternative methods for 

determining energy efficiency and energy 

use. 

* * * * * 

(i) Alternative determination of 

standby mode and off mode power 

consumption for untested basic models 

of consumer furnaces and consumer 

boilers. For models of consumer 

furnaces or consumer boilers that have 

identical standby mode and off mode 

power consuming components, ratings 

for untested basic models may be 

established in accordance with the 

following procedures in lieu of testing. 

This method allows only for the use of 

ratings identical to those of a tested 

basic model as provided below; 

simulations or other modeling 

predictions for ratings for standby mode 

power consumption and off mode 

power consumption are not permitted. 

(1) Consumer furnaces. Rate the 

standby mode and off mode power 

consumption of an untested basic model 

of a consumer furnace using the standby 

mode and off mode power consumption 

obtained from a tested basic model as a 

basis for ratings if all aspects of the 

electrical components, controls, and 

design that impact the standby mode 

power consumption or off mode power 

consumption are identical. 

(2) Consumer boilers. Rate the standby 

mode and off mode power consumption 

of an untested basic model of a 

consumer boiler using the standby mode 

and off mode power consumption 

obtained from a tested basic model as a 

basis for ratings if all aspects of the 

electrical components, controls, and 

design that impact the standby mode 

power consumption or off mode power 

consumption are identical. 

[FR Doc. 2021–15579 Filed 8–5–21; 8:45 am] 

BILLING CODE 6450–01–P 

FEDERAL RESERVE SYSTEM 

12 CFR Part 210 

[Regulation J; Docket No. R–1750] 

RIN 7100–AG16 

Collection of Checks and Other Items 

by Federal Reserve Banks and Funds 

Transfers Through Fedwire 

(Regulation J), Extension of Comment 

Period 

AGENCY: Board of Governors of the 

Federal Reserve System. 

ACTION: Notice of proposed rulemaking; 

extension of comment period. 

SUMMARY: On June 11, 2021, the Board 

of Governors of the Federal Reserve 

System (Board) published in the Federal 

Register a proposal to amend Regulation 

J to govern funds transfers through the 

Federal Reserve Banks’ (Reserve Banks) 

new FedNowSM Service by establishing 

a new subpart C. The Board also 

proposed changes and clarifications to 

subpart B, governing the Fedwire Funds 

Service, to reflect the fact that the 

Reserve Banks will be operating a 

second funds transfer service in 

addition to the Fedwire Funds Service, 

as well as technical corrections to 

subpart A, governing the check service. 

The proposal provided for a comment 

period ending on August 10, 2021. The 

Board is extending the comment period 

for 30 days, until September 9, 2021. 

DATES: For the notice of proposed 

rulemaking published on June 11, 2021 

(86 FR 31376), comments must be 

received by September 9, 2021. 

ADDRESSES: You may submit comments 

by any of the methods identified in the 

proposal. 

FOR FURTHER INFORMATION CONTACT: Jess 

Cheng, Senior Counsel (202) 452–2309, 

Gavin L. Smith, Senior Counsel (202) 

452–3474, Legal Division, or Ian C.B. 

Spear, Manager (202) 452–3959, Kirstin 

E. Wells, Principal Economist (202) 

452–2962, Division of Reserve Bank 

Operations and Payment Systems; for 

users of Telecommunications Device for 

the Deaf (TDD) only, contact (202) 263– 

4869. 

SUPPLEMENTARY INFORMATION: On June 

11, 2021, the Board of Governors of the 

Federal Reserve System (Board) 

published in the Federal Register a 

proposal to amend Regulation J to 

govern funds transfers through the 

Federal Reserve Banks’ (Reserve Banks) 

new FedNow Service by establishing a 

new subpart C. The Board also proposed 

changes and clarifications to subpart B, 

governing the Fedwire Funds Service, to 

reflect the fact that the Reserve Banks 

will be operating a second funds 

transfer service in addition to the 

Fedwire Funds Service, as well as 

technical corrections to subpart A, 

governing the check service.1

The proposal provided for a comment 

period ending on August 10, 2021. 

Since the publication of the proposal, 

the Board has received a request for an 

extension of the comment period. An 

extension of the comment period will 

provide additional opportunity for 

interested parties to analyze the 

proposal and prepare and submit 

comments. Therefore, the Board is 

extending the end of the comment 


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